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ERIC ALAN KOLBEN
CRD#: 2260333
IA
B
MORGAN STANLEYCRD#: 149777 100 Middle Street
3Rd Floor
Portland, ME 04101
3Rd Floor
Portland, ME 04101
0
Disclosures
19
Years of Experience
View By:
State Registrations
B
Alabama 6/26/2023
B
New Hampshire 6/15/2023
B
Arizona 6/15/2023
B
New Jersey 6/15/2023
B
California 6/15/2023
B
New York 6/15/2023
B
Colorado 6/15/2023
B
North Carolina 6/15/2023
B
Connecticut 6/15/2023
B
Ohio 6/15/2023
B
Delaware 11/15/2023
B
Pennsylvania 6/15/2023
B
District of Columbia 11/15/2023
B
Rhode Island 6/15/2023
B
Florida 6/15/2023
B
South Carolina 6/15/2023
B
Hawaii 6/15/2023
B
South Dakota 11/15/2023
B
Illinois 6/15/2023
B
Tennessee 6/15/2023
B
Maine 6/15/2023
B
Texas 6/15/2023
IA
Maine 6/15/2023
IA
Texas 6/15/2023
B
Maryland 11/15/2023
B
Utah 11/15/2023
B
Massachusetts 6/15/2023
B
Vermont 6/15/2023
B
Michigan 6/15/2023
B
Virginia 11/15/2023
B
Minnesota 11/15/2023
B
Washington 6/15/2023
B
Missouri 11/15/2023
B
Wisconsin 11/15/2023
B
Montana 11/15/2023
B
Wyoming 11/15/2023
B
Nevada 6/15/2023
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 6/15/2023
B
Registered with this firm since 6/15/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/22/2009 - 06/26/2023 | PORTLAND, ME | |
B | 01/22/2009 - 06/26/2023 | PORTLAND, ME | |
IA | 04/02/2007 - 01/26/2009 | PORTLAND, ME | |
B | 04/02/2007 - 01/26/2009 | PORTLAND, ME | |
IA | 11/09/2005 - 04/02/2007 | PORTLAND, ME | |
B | 09/30/2005 - 04/02/2007 | PORTLAND, ME |
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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.