Individual Firm
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Roberto A Vila
ROB VILA, ROBERTO ANDREW VILA
CRD#: 2069554
IA
B
MORGAN STANLEYCRD#: 149777 1111 Prospect Street
La Jolla, CA 92037
La Jolla, CA 92037
View By:
8/3/2022
Customer Dispute
Settled
State Registrations
B
Alabama 3/18/2022
B
Nevada 3/18/2022
B
Arizona 3/18/2022
B
New Mexico 3/18/2022
B
California 3/18/2022
B
New York 3/18/2022
IA
California 3/18/2022
B
North Carolina 3/18/2022
B
Colorado 3/18/2022
B
Oregon 3/18/2022
B
Florida 3/18/2022
B
South Carolina 3/18/2022
B
Hawaii 3/18/2022
B
Tennessee 3/30/2022
B
Idaho 3/18/2022
B
Texas 3/18/2022
B
Indiana 3/18/2022
IA
Texas 3/18/2022
B
Maryland 3/18/2022
B
Utah 3/18/2022
B
Massachusetts 3/18/2022
B
Washington 3/18/2022
B
Michigan 3/18/2022
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 3/18/2022
B
Registered with this firm since 3/18/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/08/1997 - 03/21/2022 | SAN DIEGO, CA | |
B | 12/05/1995 - 03/21/2022 | SAN DIEGO, CA | |
B | 01/28/1991 - 11/30/1995 | NEWARK, NJ | |
B | 01/28/1991 - 12/10/1993 | NEWARK, NJ |
SAN DIEGO, CA
07/08/1997 - 03/21/2022
SAN DIEGO, CA
12/05/1995 - 03/21/2022
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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.