Individual Firm
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MICHAEL PAUL ROBERTS
CRD#: 2229636
IA
B
MORGAN STANLEYCRD#: 149777 16644 West Bernardo Drive
Suite 400
San Diego, CA 92127
Suite 400
San Diego, CA 92127
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5/10/2010
Customer Dispute
Settled
12/1/1997
Customer Dispute
Denied
11/1/1994
Customer Dispute
Settled
State Registrations
B
Alabama 8/26/2024
B
Montana 11/9/2009
B
Alaska 8/23/2024
B
Nebraska 8/1/2023
B
Arizona 11/9/2009
B
Nevada 8/22/2017
B
Arkansas 7/11/2024
B
New Hampshire 8/26/2024
B
California 11/9/2009
B
New Jersey 10/4/2016
IA
California 11/10/2009
B
New Mexico 8/22/2017
B
Colorado 6/4/2014
B
New York 9/1/2016
B
Connecticut 8/26/2024
B
North Carolina 11/3/2021
B
Delaware 8/28/2024
B
North Dakota 8/26/2024
B
District of Columbia 6/5/2023
B
Ohio 6/10/2020
B
Florida 6/13/2012
B
Oklahoma 8/26/2024
B
Georgia 10/3/2017
B
Oregon 6/23/2017
B
Hawaii 9/20/2024
B
Pennsylvania 1/11/2010
B
Idaho 4/24/2024
B
Puerto Rico 11/28/2011
B
Illinois 4/16/2019
B
Rhode Island 8/26/2024
B
Indiana 8/26/2024
B
South Carolina 8/28/2024
B
Iowa 8/26/2024
B
South Dakota 10/17/2023
B
Kansas 8/26/2024
B
Tennessee 3/19/2021
B
Kentucky 1/13/2022
B
Texas 10/27/2015
B
Louisiana 10/20/2014
IA
Texas 3/11/2020
B
Maine 11/9/2009
B
Utah 3/6/2023
B
Maryland 4/15/2019
B
Vermont 8/26/2024
B
Massachusetts 7/18/2019
B
Virgin Islands 8/30/2024
B
Michigan 8/9/2017
B
Virginia 11/14/2023
B
Minnesota 11/17/2020
B
Washington 3/31/2015
B
Mississippi 8/26/2024
B
Wisconsin 2/12/2021
B
Missouri 9/25/2024
B
Wyoming 8/26/2024
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 11/10/2009
B
Registered with this firm since 11/9/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/14/2003 - 11/19/2009 | SAN DIEGO, CA | |
B | 07/14/2003 - 11/19/2009 | SAN DIEGO, CA | |
IA | 05/13/2003 - 07/21/2003 | SAN DIEGO, CA | |
B | 05/13/1997 - 07/21/2003 | ST. LOUIS, MO | |
B | 07/29/1994 - 05/09/1997 | NEW YORK, NY | |
B | 04/10/1992 - 08/02/1994 | GREENWOOD VILLAGE, CO |
For additional information about investment advisers or broker-dealers, please visit
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.