Individual Firm
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JAMES DANIEL SCHENK
CRD#: 2185026
IA
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MORGAN STANLEYCRD#: 149777 760 SW 9th Avenue
Suite 2100
Portland, OR 97205
Suite 2100
Portland, OR 97205
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4/29/1999
Customer Dispute
Closed-No Action
State Registrations
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Alaska 7/10/2024
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Montana 5/22/2023
B
Arizona 6/1/2009
B
Nevada 7/26/2017
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California 6/1/2009
B
New Jersey 2/14/2019
IA
California 6/1/2009
B
New York 10/26/2017
B
Colorado 2/6/2014
B
Ohio 6/1/2009
B
Florida 6/1/2009
B
Oregon 6/1/2009
B
Georgia 6/1/2009
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Oregon 6/1/2009
B
Hawaii 6/1/2009
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South Carolina 7/16/2021
B
Idaho 11/3/2015
B
Texas 6/1/2009
B
Illinois 11/14/2019
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Texas 6/1/2009
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Indiana 6/1/2009
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Utah 9/20/2022
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Kentucky 2/11/2021
B
Virginia 10/20/2022
B
Massachusetts 8/21/2024
B
Washington 6/1/2009
B
Michigan 7/10/2024
B
Wisconsin 10/20/2022
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Minnesota 8/30/2018
SRO Registrations
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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 | 11/26/2008 - 06/01/2009 | PORTLAND, OR | |
B | 11/26/2008 - 06/01/2009 | PORTLAND, OR | |
IA | 07/28/2005 - 12/01/2008 | PORTLAND, OR | |
B | 11/06/1991 - 12/01/2008 | PORTLAND, OR |
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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.