Individual Firm
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
JOHN LAWRENCE ALEX
CRD#: 2020710
IA
B
MORGAN STANLEYCRD#: 149777 340 Mount Kemble Avenue
Morristown, NJ 07960
Morristown, NJ 07960
View By:
11/6/2024
Customer Dispute
Settled
3/19/2013
Customer Dispute
Settled
3/23/2012
Customer Dispute
Settled
7/8/2010
Customer Dispute
Settled
State Registrations
B
Alabama 3/14/2017
B
Nebraska 8/29/2023
B
Alaska 8/25/2023
B
Nevada 12/17/2018
B
Arizona 9/1/2023
B
New Hampshire 8/28/2023
B
Arkansas 8/24/2023
B
New Jersey 11/15/2011
B
California 11/15/2011
IA
New Jersey 11/15/2011
B
Colorado 11/29/2011
B
New York 11/15/2011
B
Connecticut 11/15/2011
IA
New York 9/21/2021
B
Delaware 5/30/2018
B
North Carolina 3/24/2016
B
District of Columbia 11/15/2011
B
Ohio 8/21/2023
B
Florida 11/15/2011
B
Oklahoma 11/30/2011
B
Georgia 10/24/2019
B
Oregon 11/15/2011
B
Hawaii 1/25/2012
B
Pennsylvania 6/30/2015
B
Idaho 8/22/2023
B
Puerto Rico 8/28/2023
B
Illinois 11/15/2011
B
Rhode Island 7/13/2022
B
Indiana 5/11/2018
B
South Carolina 3/1/2021
B
Iowa 8/21/2023
B
Tennessee 8/21/2023
B
Kansas 11/15/2011
B
Texas 11/15/2011
B
Kentucky 8/24/2023
IA
Texas 11/15/2011
B
Louisiana 1/22/2021
B
Utah 8/23/2023
B
Maine 8/21/2023
B
Vermont 11/15/2011
B
Maryland 11/15/2011
B
Virgin Islands 8/21/2023
B
Massachusetts 11/15/2011
B
Virginia 11/15/2011
B
Michigan 6/29/2015
B
Washington 11/15/2011
B
Minnesota 8/21/2023
B
West Virginia 8/21/2023
B
Mississippi 8/21/2023
B
Wisconsin 1/15/2013
B
Missouri 1/11/2018
B
Wyoming 8/23/2023
B
Montana 8/22/2023
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 11/15/2011
B
Registered with this firm since 11/15/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/15/2010 - 11/16/2011 | NEW YORK, NY | |
B | 05/29/2008 - 11/16/2011 | NEW YORK, NY | |
IA | 09/17/2003 - 06/09/2008 | NEW YORK, NY | |
B | 05/09/2003 - 06/09/2008 | NEW YORK, NY | |
B | 07/23/1999 - 05/19/2003 | NEW YORK, NY | |
B | 02/13/1990 - 07/27/1999 | NEW YORK, NY |
For additional information about investment advisers or broker-dealers, please visit
B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.