Individual Firm
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MICHAEL GLEN SPIERING
MICHAEL SPIERING
CRD#: 2119813
IA
B
MORGAN STANLEYCRD#: 149777 1333 North California Boulevard
Suite 133
Walnut Creek, CA 94596
Suite 133
Walnut Creek, CA 94596
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5/29/2003
Customer Dispute
Settled
State Registrations
B
Arizona 6/1/2009
B
New Jersey 7/28/2023
B
California 6/1/2009
B
New York 1/24/2022
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California 6/1/2009
B
North Carolina 2/1/2024
B
Colorado 11/18/2024
B
Oregon 7/17/2014
B
Connecticut 6/1/2009
B
Pennsylvania 6/1/2009
B
Florida 8/12/2009
B
Rhode Island 2/27/2024
B
Hawaii 6/1/2009
B
South Carolina 7/21/2020
B
Idaho 2/7/2024
B
Tennessee 9/11/2017
B
Maryland 7/17/2014
B
Texas 6/1/2009
B
Massachusetts 7/12/2022
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Texas 2/24/2020
B
Michigan 1/6/2025
B
Virginia 9/15/2017
B
Minnesota 9/8/2020
B
Washington 6/1/2009
B
Nevada 7/17/2014
SRO Registrations
B
B
B
B
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Registered with this firm since 6/1/2009
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Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/24/2005 - 06/01/2009 | WALNUT CREEK, CA | |
B | 10/26/2005 - 06/01/2009 | WALNUT CREEK, CA | |
IA | 07/08/1998 - 10/26/2005 | SAN FRANCISCO, CA | |
B | 11/11/1991 - 10/26/2005 | NEW YORK, NY |
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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.