Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
MARSHALL MAXIMILIAN GRANT
CRD#: 2138912
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 917 Tahoe Boulevard
Suite 200
Incline Village, NV 89451
Registration History
19952000200520102015202020252 FIRMS1999 - 2003 (4 years)2 FIRMS2003 - 2022 (18 years)2 FIRMS2022 - Present (2 years)BSALOMON SMITH BARNEY INC. (CRD# 7059)1994 - 1999 (4 years)BPAINEWEBBER INCORPORATED (CRD# 8174)1993 - 1994 (1 year)BWESTMARK SECURITIES CORPORATION (CRD# 16709)1991 - 1993 (1 year)BCUCHARA RESOURCES, INC. (CRD# 23380)1991 - 1991 (<1 year)
Disclosure(s)
View By:
2/22/2021
Customer Dispute
Denied
7/9/1998
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 5/2/2023
B
Nebraska 5/2/2023
B
Alaska 5/10/2022
B
Nevada 4/22/2022
B
Arizona 4/22/2022
IA
Nevada 4/29/2022
B
Arkansas 4/22/2022
B
New Hampshire 5/2/2023
B
California 4/22/2022
B
New Jersey 5/2/2023
IA
California 4/22/2022
B
New Mexico 5/2/2023
B
Colorado 5/2/2023
B
New York 5/2/2023
B
Connecticut 5/2/2023
B
North Carolina 5/2/2023
B
Delaware 5/2/2023
B
North Dakota 5/2/2023
B
District of Columbia 5/2/2023
B
Ohio 4/22/2022
B
Florida 5/2/2023
B
Oklahoma 5/2/2023
B
Georgia 5/2/2023
B
Oregon 4/22/2022
B
Hawaii 5/2/2023
B
Pennsylvania 5/2/2023
B
Idaho 4/22/2022
B
Puerto Rico 5/2/2023
B
Illinois 5/2/2023
B
Rhode Island 5/2/2023
B
Indiana 5/2/2023
B
South Carolina 4/22/2022
B
Iowa 4/22/2022
B
South Dakota 5/2/2023
B
Kansas 5/2/2023
B
Tennessee 5/2/2023
B
Kentucky 5/2/2023
B
Texas 4/22/2022
B
Louisiana 5/2/2023
IA
Texas 4/22/2022
B
Maine 5/2/2023
B
Utah 4/22/2022
B
Maryland 5/2/2023
B
Vermont 5/2/2023
B
Massachusetts 5/2/2023
B
Virgin Islands 5/2/2023
B
Michigan 5/2/2023
B
Virginia 5/2/2023
B
Minnesota 5/2/2023
B
Washington 4/22/2022
B
Mississippi 5/2/2023
B
West Virginia 5/2/2023
B
Missouri 5/2/2023
B
Wisconsin 5/2/2023
B
Montana 4/22/2022
B
Wyoming 5/2/2023

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)
917 Tahoe Boulevard Suite 200, Incline Village, NV 89451
Registered with this firm since 4/22/2022
B
MORGAN STANLEY (CRD#:149777)
917 Tahoe Boulevard Suite 200, Incline Village, NV 89451
Registered with this firm since 4/22/2022
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 07/01/2003 - 04/26/2022 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) INCLINE VILLAGE, NV
B
 07/01/2003 - 04/26/2022 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) INCLINE VILLAGE, NV
IA
 05/17/1999 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) ROSEVILLE, CA
B
 05/05/1999 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
 11/11/1994 - 04/21/1999 SALOMON SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
B
 07/26/1993 - 11/25/1994 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, NJ
B
 09/05/1991 - 02/08/1993 WESTMARK SECURITIES CORPORATION (CRD#:16709) SANTA MONICA, CA
B
 05/15/1991 - 08/23/1991 CUCHARA RESOURCES, INC. (CRD#:23380)
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.