Individual Firm
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W LAWRENCE OAKLEY
WILLIAM L OAKLEY, WILLIAM LAWRENCE OAKLEY
CRD#: 2042348
IA
B
MORGAN STANLEYCRD#: 149777 7515 Halcyon Summit Drive
Montgomery, AL 36117
Montgomery, AL 36117
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7/2/2001
Customer Dispute
Withdrawn
State Registrations
B
Alabama 6/1/2009
B
Michigan 7/20/2022
IA
Alabama 6/1/2009
B
Mississippi 12/11/2013
B
Arkansas 6/1/2009
B
New York 12/11/2024
B
Colorado 11/21/2011
B
North Carolina 6/1/2009
B
Delaware 2/19/2016
B
South Carolina 12/11/2013
B
District of Columbia 1/15/2025
B
Tennessee 6/1/2009
B
Florida 6/1/2009
B
Texas 9/10/2013
B
Georgia 6/1/2009
IA
Texas 4/8/2020
B
Illinois 12/11/2013
B
Utah 8/31/2021
B
Louisiana 6/6/2017
B
Virginia 7/27/2020
B
Maryland 7/27/2021
B
West Virginia 6/1/2009
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
IA
Registered with this firm since 6/1/2009
B
Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/02/2007 - 06/01/2009 | MONTGOMERY, AL | |
B | 04/02/2007 - 06/01/2009 | MONTGOMERY, AL | |
IA | 04/27/2000 - 04/02/2007 | MONTGOMERY, AL | |
B | 03/29/2000 - 04/02/2007 | MONTGOMERY, AL | |
B | 05/01/1990 - 04/20/2000 | NEW YORK, NY |
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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.