Individual Firm
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JONATHON RAY PAUL
CRD#: 2262192
IA
B
MORGAN STANLEYCRD#: 149777 Gilbert, AZ
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10/5/2016
Financial
Final
State Registrations
B
Alabama 10/15/2020
B
Nevada 12/22/2016
B
Arizona 8/26/2011
B
New Jersey 10/1/2020
IA
Arizona 9/8/2011
B
New Mexico 7/12/2022
B
Arkansas 1/31/2023
B
New York 9/12/2020
B
California 8/26/2011
B
North Carolina 3/1/2024
IA
California 9/26/2011
B
North Dakota 1/21/2025
B
Colorado 5/8/2020
B
Ohio 1/2/2025
B
Connecticut 11/20/2024
B
Oklahoma 2/26/2025
B
Delaware 10/17/2022
B
Oregon 8/31/2020
B
Florida 8/19/2013
B
Pennsylvania 7/24/2018
B
Georgia 3/8/2012
B
South Carolina 1/8/2025
B
Hawaii 2/13/2025
B
South Dakota 9/10/2020
B
Illinois 10/5/2020
B
Tennessee 1/3/2025
B
Indiana 9/9/2020
B
Texas 8/23/2020
B
Kansas 8/26/2020
IA
Texas 8/28/2020
B
Maine 1/14/2025
B
Utah 1/3/2025
B
Maryland 8/19/2020
B
Virginia 9/8/2015
B
Massachusetts 1/13/2025
B
Washington 8/28/2020
B
Michigan 10/29/2020
B
West Virginia 10/6/2020
B
Minnesota 1/3/2025
B
Wisconsin 12/12/2023
B
Missouri 7/13/2018
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/01/2005 - 08/30/2011 | MESA, AZ | |
B | 03/01/2005 - 08/30/2011 | MESA, AZ | |
B | 04/27/2001 - 03/08/2005 | NEW YORK, NY | |
B | 05/05/1994 - 04/23/2001 | PHOENIX, AZ | |
B | 07/30/1992 - 04/17/1993 | SPRINGFIELD, MA | |
B | 07/30/1992 - 04/17/1993 | 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.