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Detailed Report
Registration History
1995200020052010201520202025IAMORGAN STANLEY (CRD# 149777)2015 - Present (9 years)BMORGAN STANLEY (CRD# 149777)2009 - Present (15 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1998 - 2009 (11 years)BCIBC OPPENHEIMER CORP. (CRD# 630)1994 - 1998 (3 years)BBANCA IMI SECURITIES CORP. (CRD# 19418)1991 - 1994 (3 years)
Disclosure(s)
View By:
12/16/2002
Customer Dispute
Denied
10/28/2002
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 6/1/2009
B
Michigan 11/26/2024
B
Arkansas 12/3/2024
B
Minnesota 11/26/2024
B
California 6/1/2009
B
New Jersey 6/1/2009
B
Colorado 7/18/2024
B
New York 6/1/2009
B
Connecticut 6/1/2009
B
North Carolina 6/11/2021
IA
Connecticut 6/3/2015
B
Ohio 3/23/2023
B
Delaware 12/6/2024
B
Oklahoma 12/2/2024
B
Florida 6/1/2009
B
Pennsylvania 3/23/2023
B
Georgia 7/17/2024
B
Rhode Island 7/18/2022
B
Illinois 6/1/2009
IA
Rhode Island 8/3/2022
B
Indiana 11/22/2024
B
Texas 6/1/2009
B
Kansas 11/22/2024
IA
Texas 3/11/2020
B
Maryland 6/1/2009
B
Vermont 6/1/2009
B
Massachusetts 6/1/2009
B
Virginia 6/10/2020

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MORGAN STANLEY (CRD#:149777)
middletown, RI
Avon, CT
Registered with this firm since 6/3/2015
B
MORGAN STANLEY (CRD#:149777)
middletown, RI
Avon, CT
Registered with this firm since 6/1/2009
Previous Registration(s)
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B
 06/18/1998 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NEW YORK, NY
B
 09/13/1994 - 07/14/1998 CIBC OPPENHEIMER CORP. (CRD#:630) NEW YORK, NY
B
 06/17/1991 - 09/19/1994 BANCA IMI SECURITIES CORP. (CRD#:19418) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.