Individual Firm
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THOMAS WAYNE ELROD SR
THOMAS WAYNE SR ELROD
CRD#: 2044355
IA
B
MORGAN STANLEYCRD#: 149777 1701 Southeast Columbia River Drive
Suite 120
Vancouver, WA 98661
Suite 120
Vancouver, WA 98661
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9/14/2001
Customer Dispute
Denied
State Registrations
B
Alabama 1/22/2021
B
Nevada 7/1/2011
B
Arizona 1/23/2014
B
New Mexico 6/1/2009
B
California 6/1/2009
B
New York 6/1/2009
IA
California 6/1/2009
B
North Carolina 6/1/2009
B
Colorado 1/9/2019
B
Oklahoma 2/28/2019
B
Florida 6/1/2009
B
Oregon 6/1/2009
B
Georgia 10/16/2024
B
South Carolina 2/4/2014
B
Hawaii 1/25/2021
B
South Dakota 12/15/2021
B
Idaho 5/19/2016
B
Tennessee 6/23/2016
B
Indiana 11/20/2024
B
Texas 3/14/2016
B
Iowa 9/29/2020
IA
Texas 3/3/2020
B
Kansas 8/21/2020
B
Utah 8/3/2015
B
Massachusetts 6/1/2009
B
Washington 6/1/2009
B
Michigan 11/21/2018
IA
Washington 8/8/2019
B
Minnesota 4/1/2016
B
Wisconsin 2/16/2022
B
Missouri 8/20/2014
B
Wyoming 5/5/2022
B
Nebraska 3/11/2022
SRO Registrations
B
B
B
B
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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 | 07/08/1997 - 06/01/2009 | MODESTO, CA | |
B | 10/06/1993 - 06/01/2009 | MODESTO, CA | |
B | 03/20/1990 - 10/06/1993 | 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.