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ROBERT SCOTT RUNYAN
CRD#: 2092368
IA
B
MORGAN STANLEYCRD#: 149777 1020 10th Street
2nd Floor
Modesto, CA 95354
2nd Floor
Modesto, CA 95354
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8/8/2002
Customer Dispute
Denied
9/14/2001
Customer Dispute
Denied
State Registrations
B
Alabama 1/22/2021
B
Nebraska 2/15/2019
B
Alaska 2/13/2020
B
Nevada 6/1/2009
B
Arizona 12/20/2012
B
New Hampshire 5/25/2022
B
Arkansas 2/15/2019
B
New Jersey 5/25/2022
B
California 6/1/2009
B
New Mexico 6/1/2009
IA
California 6/1/2009
B
New York 6/1/2009
B
Colorado 6/1/2009
B
North Carolina 5/21/2016
B
Connecticut 5/11/2022
B
North Dakota 2/15/2019
B
Delaware 9/8/2016
B
Ohio 1/6/2017
B
District of Columbia 5/11/2022
B
Oklahoma 5/25/2022
B
Florida 6/1/2009
B
Oregon 11/21/2012
B
Georgia 5/3/2016
B
Pennsylvania 11/7/2018
B
Hawaii 8/1/2018
B
Puerto Rico 2/15/2019
B
Idaho 1/14/2019
B
Rhode Island 2/15/2019
B
Illinois 2/15/2019
B
South Carolina 1/23/2013
B
Indiana 2/15/2019
B
South Dakota 2/15/2019
B
Iowa 1/5/2021
B
Tennessee 5/19/2016
B
Kansas 8/21/2020
B
Texas 3/14/2016
B
Kentucky 12/1/2020
IA
Texas 2/24/2020
B
Louisiana 5/25/2022
B
Utah 8/3/2015
B
Maine 5/25/2022
B
Vermont 5/25/2022
B
Maryland 5/25/2022
B
Virgin Islands 5/25/2022
B
Massachusetts 6/1/2009
B
Virginia 5/10/2022
B
Michigan 2/4/2022
B
Washington 6/1/2009
B
Minnesota 10/12/2017
B
West Virginia 5/25/2022
B
Mississippi 2/15/2019
B
Wisconsin 2/15/2019
B
Missouri 8/20/2014
B
Wyoming 5/6/2022
B
Montana 6/15/2021
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 | 09/07/1993 - 06/01/2009 | MODESTO, CA | |
B | 10/22/1990 - 09/08/1993 | 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.