Individual Firm
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DAVID LAWRENCE MCDANIEL
CRD#: 2225473
IA
B
MORGAN STANLEYCRD#: 149777 One 10th Street
Suite 600
Augusta, GA 30901
Suite 600
Augusta, GA 30901
View By:
8/20/2001
Customer Dispute
Closed-No Action
State Registrations
B
Alabama 11/21/2013
B
New Jersey 6/23/2011
B
Arizona 6/23/2011
B
New Mexico 1/4/2022
B
California 11/16/2016
B
New York 10/17/2012
B
Colorado 6/23/2011
B
North Carolina 6/23/2011
B
Connecticut 6/23/2011
B
Ohio 6/23/2011
B
Florida 6/23/2011
B
Oklahoma 6/23/2011
B
Georgia 6/23/2011
B
Oregon 3/3/2025
IA
Georgia 6/28/2011
B
Pennsylvania 3/25/2013
B
Illinois 11/1/2012
B
South Carolina 6/23/2011
B
Indiana 1/11/2024
B
Tennessee 6/23/2011
B
Iowa 3/22/2019
B
Texas 6/20/2013
B
Louisiana 6/23/2011
IA
Texas 5/5/2020
B
Maryland 11/3/2016
B
Virginia 7/11/2011
B
Michigan 6/23/2011
B
Washington 6/23/2011
B
Missouri 11/16/2016
B
West Virginia 1/8/2019
B
Montana 1/4/2022
B
Wyoming 4/6/2015
B
Nevada 11/1/2012
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 6/28/2011
B
Registered with this firm since 6/23/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/24/1996 - 06/27/2011 | AUGUSTA, GA | |
B | 04/09/1992 - 06/27/2011 | AUGUSTA, 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.
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.