Individual Firm
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ALEJANDRO VALLE
CRD#: 2220466
IA
B
MORGAN STANLEYCRD#: 149777 101 West Broadway
Suite 1800
San Diego, CA 92101
Suite 1800
San Diego, CA 92101
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12/8/2009
Customer Dispute
Settled
7/20/2009
Customer Dispute
Denied
State Registrations
B
Arizona 6/1/2009
B
Indiana 5/25/2018
B
California 6/1/2009
B
Nevada 6/1/2009
IA
California 6/1/2009
B
New York 1/28/2024
B
Colorado 8/30/2023
B
Puerto Rico 6/1/2009
B
Connecticut 12/17/2015
B
Texas 6/1/2009
B
Delaware 10/23/2020
IA
Texas 3/11/2020
B
Florida 6/1/2009
B
Washington 6/12/2015
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 | 07/08/1997 - 06/01/2009 | SAN DIEGO, CA | |
B | 07/31/1993 - 06/01/2009 | SAN DIEGO, CA | |
B | 06/22/1992 - 07/31/1993 | NEW YORK, 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.