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FRANSHELL D DUMES
FRAN CARRIER, FRANSHELL DENISE CARRIER, FRANSHELL CARRIER, FRANSHELL DENISE DUMES, FRANSHELL DUMES
CRD#: 2219073
IA
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MORGAN STANLEYCRD#: 149777 2800 Post Oak Boulevard
Suite 3200
Houston, TX 77056
Suite 3200
Houston, TX 77056
0
Disclosures
24
Years of Experience
View By:
State Registrations
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Alabama 3/23/2022
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Nebraska 1/12/2022
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Alaska 3/23/2022
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Nevada 1/12/2022
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Arizona 3/23/2022
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New Hampshire 3/23/2022
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Arkansas 1/12/2022
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New Jersey 3/23/2022
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California 3/23/2022
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New Mexico 1/12/2022
B
Colorado 3/23/2022
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New York 3/23/2022
B
Connecticut 3/23/2022
B
North Carolina 1/12/2022
B
Delaware 3/23/2022
B
North Dakota 1/12/2022
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District of Columbia 3/23/2022
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Ohio 3/24/2022
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Florida 1/12/2022
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Oklahoma 3/23/2022
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Georgia 1/12/2022
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Oregon 3/23/2022
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Hawaii 3/23/2022
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Pennsylvania 3/23/2022
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Idaho 3/23/2022
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Puerto Rico 1/12/2022
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Illinois 1/12/2022
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Rhode Island 1/12/2022
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Indiana 1/12/2022
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South Carolina 1/12/2022
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Iowa 3/23/2022
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South Dakota 1/12/2022
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Kansas 3/23/2022
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Tennessee 3/23/2022
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Kentucky 3/23/2022
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Texas 1/11/2022
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Louisiana 3/23/2022
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Texas 1/11/2022
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Maine 3/23/2022
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Utah 1/12/2022
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Maryland 3/23/2022
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Vermont 3/23/2022
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Massachusetts 1/12/2022
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Virgin Islands 3/23/2022
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Michigan 3/23/2022
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Virginia 3/23/2022
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Minnesota 1/12/2022
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Washington 1/12/2022
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Mississippi 1/12/2022
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West Virginia 3/23/2022
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Missouri 3/23/2022
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Wisconsin 1/12/2022
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Montana 1/12/2022
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Wyoming 3/23/2022
SRO Registrations
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View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
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Registered with this firm since 1/11/2022
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Registered with this firm since 1/11/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/15/2017 - 12/14/2021 | HOUSTON, TX | |
B | 09/15/2017 - 12/14/2021 | HOUSTON, TX | |
IA | 04/05/2011 - 09/26/2017 | HOUSTON, TX | |
B | 04/05/2011 - 09/26/2017 | HOUSTON, TX | |
IA | 06/18/2010 - 03/28/2011 | HOUSTON, TX | |
B | 06/18/2010 - 03/28/2011 | HOUSTON, TX | |
IA | 06/01/2009 - 06/03/2010 | HOUSTON, TX | |
B | 06/01/2009 - 06/03/2010 | HOUSTON, TX | |
IA | 09/08/2004 - 06/01/2009 | HOUSTON, TX | |
B | 09/08/2004 - 06/01/2009 | HOUSTON, TX | |
IA | 08/18/2003 - 09/09/2004 | WEBSTER, TX | |
B | 08/18/2003 - 09/09/2004 | PURCHASE, NY | |
IA | 04/15/2003 - 08/18/2003 | NEW YORK, NY | |
B | 01/03/2003 - 08/18/2003 | NEW YORK, NY | |
IA | 01/03/2003 - 04/15/2003 | HOUSTON, TX | |
IA | 08/28/2002 - 01/03/2003 | HOUSTON, TX | |
B | 08/24/2001 - 01/03/2003 | NEW YORK, NY | |
B | 03/05/1999 - 02/02/2000 | HOUSTON, TX | |
B | 01/21/1999 - 02/26/1999 | ATLANTA, GA |
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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.
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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.