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Detailed Report
PORTER VERGON III
F PORTER VERGON, FREDERICK PORTER VERGON III, FREDERICK VERGON, PORTER VERGON
CRD#: 2258085
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 200 Public Square
Suite 2600
Cleveland, OH 44114
Registration History
19952000200520102015202020252 FIRMS1993 - 1994 (<1 year)2 FIRMS2008 - 2009 (<1 year)2 FIRMS2009 - Present (15 years)BNATCITY INVESTMENTS, INC. (CRD# 17490)1996 - 2008 (12 years)BNATCITY INSURANCE SERVICES, INC. (CRD# 16989)1999 - 2001 (2 years)BLIBERTY SECURITIES CORPORATION (CRD# 14416)1998 - 1999 (1 year)BINDEPENDENT FINANCIAL SECURITI... (CRD# 19924)1994 - 1998 (4 years)BNATIONAL CITY INVESTMENTS CORP... (CRD# 17365)1994 - 1996 (2 years)IANATCITY INVESTMENTS, INC. (CRD# 17490)2000 - 2008 (8 years)
Disclosure(s)
View By:
7/2/2009
Customer Dispute
Denied
7/26/2002
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 6/1/2009
B
Missouri 3/10/2011
B
California 6/1/2009
B
Nevada 12/19/2023
B
Colorado 8/7/2012
B
New York 3/10/2011
B
Connecticut 4/4/2016
B
North Carolina 6/1/2009
B
Florida 6/1/2009
B
Ohio 6/1/2009
B
Georgia 6/1/2009
IA
Ohio 6/1/2009
B
Illinois 6/1/2009
B
Pennsylvania 8/17/2018
B
Indiana 1/22/2019
B
South Carolina 9/19/2018
B
Kansas 2/7/2025
B
Tennessee 12/13/2021
B
Kentucky 9/22/2017
B
Texas 1/19/2016
B
Maine 10/21/2020
IA
Texas 3/19/2020
B
Maryland 6/1/2009
B
Utah 10/15/2019
B
Massachusetts 6/1/2009
B
Virginia 6/1/2009
B
Michigan 6/1/2009
B
Washington 12/10/2013
B
Minnesota 1/2/2025
B
Wisconsin 6/14/2019

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)
200 Public Square Suite 2600, Cleveland, OH 44114
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
200 Public Square Suite 2600, Cleveland, OH 44114
Registered with this firm since 6/1/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 09/18/2008 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) CLEVELAND, OH
B
 09/12/2008 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) CLEVELAND, OH
IA
 01/01/2000 - 09/19/2008 NATCITY INVESTMENTS, INC. (CRD#:17490) CLEVELAND, OH
B
 06/01/1996 - 09/19/2008 NATCITY INVESTMENTS, INC. (CRD#:17490) CLEVELAND, OH
B
 08/30/1999 - 12/31/2001 NATCITY INSURANCE SERVICES, INC. (CRD#:16989) CLEVELAND, OH
B
 08/03/1998 - 09/01/1999 LIBERTY SECURITIES CORPORATION (CRD#:14416) PURCHASE, NY
B
 08/05/1994 - 08/03/1998 INDEPENDENT FINANCIAL SECURITIES, INC. (CRD#:19924)
B
 05/06/1994 - 06/01/1996 NATIONAL CITY INVESTMENTS CORPORATION (CRD#:17365)
B
 06/09/1993 - 05/09/1994 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363) MINNEAPOLIS, MN
B
 06/09/1993 - 05/09/1994 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
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.