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ADAM HARDING PALMER
CRD#: 2152815
IA
B
MORGAN STANLEYCRD#: 149777 100 North Tampa Street
Suite 3000
Tampa, FL 33602
Suite 3000
Tampa, FL 33602
View By:
6/17/2009
Customer Dispute
Denied
State Registrations
B
Alabama 3/11/2015
B
Nevada 11/19/2024
B
Arizona 3/11/2014
B
New Jersey 6/1/2009
B
Arkansas 11/19/2024
B
New Mexico 5/26/2023
B
California 6/1/2009
B
New York 6/1/2009
B
Colorado 6/28/2016
B
North Carolina 6/1/2009
B
Connecticut 2/17/2021
B
North Dakota 5/26/2023
B
Delaware 6/1/2009
B
Ohio 6/1/2009
B
District of Columbia 2/19/2013
B
Oklahoma 11/19/2024
B
Florida 6/1/2009
B
Oregon 3/3/2022
IA
Florida 6/1/2009
B
Pennsylvania 6/1/2009
B
Georgia 6/1/2009
B
Rhode Island 5/26/2023
B
Illinois 6/1/2009
B
South Carolina 6/1/2009
B
Indiana 9/27/2016
B
South Dakota 7/25/2019
B
Iowa 11/19/2024
B
Tennessee 10/26/2011
B
Kentucky 8/10/2012
B
Texas 6/1/2009
B
Louisiana 3/30/2022
IA
Texas 4/23/2020
B
Maine 8/26/2022
B
Utah 11/19/2024
B
Maryland 6/10/2020
B
Vermont 11/19/2024
B
Massachusetts 6/1/2009
B
Virginia 6/1/2009
B
Michigan 6/1/2009
B
Washington 6/1/2009
B
Minnesota 8/11/2021
B
West Virginia 6/13/2012
B
Mississippi 1/3/2013
B
Wisconsin 6/1/2009
B
Missouri 5/26/2023
B
Wyoming 1/25/2023
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
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 | 09/18/2006 - 06/01/2009 | TAMPA, FL | |
B | 09/15/2006 - 06/01/2009 | TAMPA, FL | |
IA | 05/12/2000 - 09/26/2006 | TAMPA, FL | |
B | 05/12/2000 - 09/26/2006 | TAMPA, FL | |
B | 10/03/1996 - 05/26/2000 | PARSIPPANY, NJ |
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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.