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Detailed Report
LISA MARIE BRICCA
LISA MARIE HAMM
CRD#: 2190454
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 1200 Franklin Avenue
2Nd Floor
Garden City, NY 11530
Registration History
199820002002200420062008201020122014201620182020202220242026IAMORGAN STANLEY (CRD# 149777)2020 - Present (4 years)BMORGAN STANLEY (CRD# 149777)2009 - Present (15 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1998 - 2009 (10 years)
License(s)

State Registrations

B
Alabama 10/8/2015
B
Montana 10/8/2015
B
Alaska 4/25/2016
B
Nevada 10/8/2015
B
Arizona 10/8/2015
B
New Hampshire 10/8/2015
B
Arkansas 9/29/2022
B
New Jersey 9/2/2011
B
California 10/8/2015
B
New York 6/1/2009
B
Colorado 10/8/2015
IA
New York 6/16/2021
B
Connecticut 10/8/2015
B
North Carolina 10/9/2015
B
Delaware 10/8/2015
B
Ohio 10/12/2016
B
District of Columbia 3/1/2016
B
Oregon 10/1/2018
B
Florida 8/13/2009
B
Pennsylvania 10/8/2015
B
Georgia 10/8/2015
B
Rhode Island 4/25/2016
B
Hawaii 11/15/2016
B
South Carolina 10/8/2015
B
Illinois 10/8/2015
B
Tennessee 1/4/2022
B
Kansas 11/2/2023
B
Texas 10/8/2015
B
Maine 10/8/2015
IA
Texas 5/14/2020
B
Maryland 10/8/2015
B
Virginia 10/8/2015
B
Massachusetts 4/25/2016
B
Washington 4/25/2016
B
Michigan 9/21/2017
B
West Virginia 10/8/2015
B
Minnesota 1/21/2020
B
Wyoming 4/25/2016

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)
1200 Franklin Avenue 2Nd Floor, Garden City, NY 11530
Registered with this firm since 5/14/2020
B
MORGAN STANLEY (CRD#:149777)
1200 Franklin Avenue 2Nd Floor, Garden City, NY 11530
Registered with this firm since 6/1/2009
Previous Registration(s)
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B
 07/06/1998 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) HAUPPAUGE, NY
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.