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JANIELLE A SWAYNE
JANIELLE ANNETTE GONZALEZ
CRD#: 2186018
IA
B
MORGAN STANLEYCRD#: 149777 200 N. Westlake Blvd.
Suite 200 and 207
Westlake Village, CA 91362
Suite 200 and 207
Westlake Village, CA 91362
0
Disclosures
26
Years of Experience
View By:
State Registrations
B
Alabama 1/7/2015
B
Mississippi 11/22/2021
B
Alaska 3/16/2023
B
Missouri 1/7/2011
B
Arizona 1/7/2011
B
Montana 11/22/2021
B
Arkansas 1/7/2011
B
Nebraska 11/22/2021
B
California 6/1/2009
B
Nevada 1/7/2011
IA
California 6/1/2009
B
New Hampshire 3/23/2023
B
Colorado 1/7/2011
B
New Jersey 1/7/2011
B
Connecticut 1/7/2011
B
New Mexico 11/22/2021
B
Delaware 9/24/2019
B
New York 1/7/2011
B
District of Columbia 1/23/2019
B
North Carolina 6/25/2019
B
Florida 1/7/2011
B
Ohio 11/23/2021
B
Georgia 1/7/2011
B
Oklahoma 11/22/2021
B
Hawaii 1/7/2011
B
Oregon 1/7/2011
B
Idaho 2/2/2018
B
Pennsylvania 11/22/2021
B
Illinois 1/7/2011
B
Rhode Island 8/21/2014
B
Indiana 4/30/2012
B
South Dakota 11/22/2021
B
Kansas 2/10/2021
B
Tennessee 1/7/2011
B
Kentucky 1/9/2018
B
Texas 7/18/2013
B
Louisiana 11/22/2021
IA
Texas 4/2/2020
B
Maine 5/7/2018
B
Utah 7/14/2015
B
Maryland 1/7/2011
B
Virginia 7/2/2019
B
Massachusetts 1/7/2011
B
Washington 1/7/2011
B
Michigan 1/7/2019
B
Wisconsin 11/22/2021
B
Minnesota 1/7/2019
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 | 09/06/2007 - 06/01/2009 | WOODLAND HILLS, CA | |
B | 11/03/2000 - 06/01/2009 | WOODLAND HILLS, CA | |
B | 01/12/1999 - 11/10/2000 | PURCHASE, 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.