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Detailed Report
ALICIA MARIA GUAGLIARDO
ALICIA GUAGLIARDO, ALICIA MARTINEZ, ALICIA MARIA SEIWERT
CRD#: 2091180
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 601 Union Street, Two Union Square
Suite 5200
Seattle, WA 98101
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS1998 - 1998 (<1 year)2 FIRMS2000 - 2006 (6 years)2 FIRMS2007 - 2008 (1 year)2 FIRMS2008 - 2012 (4 years)2 FIRMS2012 - 2014 (2 years)2 FIRMS2014 - 2014 (<1 year)2 FIRMS2015 - Present (9 years)BALPS DISTRIBUTORS, INC. (CRD# 16853)2006 - 2006 (<1 year)BINVEST FINANCIAL CORPORATION (CRD# 12984)1998 - 2000 (1 year)BUNITED PACIFIC SECURITIES, INC. (CRD# 21986)1997 - 1998 (<1 year)BPFS INVESTMENTS INC. (CRD# 10111)1996 - 1997 (1 year)BBANC IV INVESTMENTS, INC. (CRD# 36169)1995 - 1996 (<1 year)IAINTRUST BROKERAGE INC. (CRD# 43502)2004 - 2006 (1 year)
License(s)

State Registrations

B
Alabama 4/29/2022
B
Nevada 2/14/2019
B
Alaska 4/29/2022
B
New Hampshire 5/25/2022
B
Arizona 12/1/2015
B
New Jersey 5/25/2022
B
Arkansas 2/20/2019
B
New Mexico 2/20/2019
B
California 12/14/2020
B
New York 5/25/2022
B
Colorado 5/11/2022
B
North Carolina 2/20/2019
B
Connecticut 5/11/2022
B
North Dakota 2/20/2019
B
Delaware 5/11/2022
B
Ohio 5/27/2022
B
District of Columbia 5/11/2022
B
Oklahoma 5/25/2022
B
Florida 12/1/2015
B
Oregon 12/1/2015
B
Georgia 2/20/2019
B
Pennsylvania 5/25/2022
B
Hawaii 5/25/2022
B
Puerto Rico 2/20/2019
B
Idaho 10/21/2020
B
Rhode Island 2/20/2019
B
Illinois 2/20/2019
B
South Carolina 2/20/2019
B
Indiana 2/20/2019
B
South Dakota 2/20/2019
B
Iowa 5/25/2022
B
Tennessee 5/25/2022
B
Kansas 5/25/2022
B
Texas 2/20/2019
B
Kentucky 5/25/2022
IA
Texas 2/24/2020
B
Louisiana 5/25/2022
B
Utah 12/1/2015
B
Maine 5/25/2022
B
Vermont 5/25/2022
B
Maryland 5/25/2022
B
Virgin Islands 5/25/2022
B
Massachusetts 5/17/2017
B
Virginia 5/25/2022
B
Michigan 5/25/2022
B
Washington 8/28/2015
B
Minnesota 2/20/2019
IA
Washington 8/28/2015
B
Mississippi 2/20/2019
B
West Virginia 5/25/2022
B
Missouri 4/29/2022
B
Wisconsin 2/20/2019
B
Montana 4/28/2021
B
Wyoming 5/25/2022
B
Nebraska 2/20/2019

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)
601 Union Street, Two Union Square Suite 5200, Seattle, WA 98101
Covington, WA
Registered with this firm since 8/28/2015
B
MORGAN STANLEY (CRD#:149777)
601 Union Street, Two Union Square Suite 5200, Seattle, WA 98101
Covington, WA
Registered with this firm since 8/28/2015
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 11/07/2014 - 12/08/2014 ROBERT W. BAIRD & CO. INCORPORATED (CRD#:8158) Seattle, WA
B
 11/07/2014 - 12/08/2014 ROBERT W. BAIRD & CO. INCORPORATED (CRD#:8158) Seattle, WA
IA
 08/22/2012 - 11/07/2014 MCADAMS WRIGHT RAGEN, INC. (CRD#:45899) SEATTLE, WA
B
 08/22/2012 - 11/07/2014 MCADAMS WRIGHT RAGEN, INC. (CRD#:45899) SEATTLE, WA
IA
 06/19/2008 - 08/17/2012 NATIONAL ASSET MANAGEMENT, INC. (CRD#:115927) SEATTLE, WA
B
 06/19/2008 - 08/17/2012 NATIONAL SECURITIES CORPORATION (CRD#:7569) SEATTLE, WA
IA
 05/22/2007 - 07/03/2008 ACCESSOR CAPITAL MANAGEMENT LP (CRD#:104587) SEATTLE, WA
B
 01/03/2007 - 06/18/2008 FORESIDE FUND SERVICES, LLC (CRD#:46106) SEATTLE, WA
B
 08/04/2006 - 12/31/2006 ALPS DISTRIBUTORS, INC. (CRD#:16853) SEATTLE, WA
IA
 08/23/2004 - 06/21/2006 INTRUST BROKERAGE INC. (CRD#:43502) WICHITA, KS
B
 06/09/2000 - 06/21/2006 INTRUST BROKERAGE INC. (CRD#:43502) WICHITA, KS
IA
 06/27/2000 - 03/27/2006 INTRUST FINANCIAL SERVICES, INC. (CRD#:115154) WICHITA, KS
B
 12/15/1998 - 06/12/2000 INVEST FINANCIAL CORPORATION (CRD#:12984) APPLETON, WI
B
 07/07/1998 - 12/10/1998 BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. (CRD#:13609) CEDAR RAPIDS, IA
B
 03/26/1998 - 07/10/1998 NEW ENGLAND SECURITIES (CRD#:615) NEW YORK, NY
B
 09/03/1997 - 01/13/1998 UNITED PACIFIC SECURITIES, INC. (CRD#:21986) CARLSBAD, CA
B
 04/01/1996 - 08/07/1997 PFS INVESTMENTS INC. (CRD#:10111) DULUTH, GA
B
 08/25/1995 - 02/23/1996 BANC IV INVESTMENTS, INC. (CRD#:36169)
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.