Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
Registration History
19952000200520102015202020252 FIRMS1999 - 2004 (5 years)2 FIRMS2004 - 2009 (4 years)2 FIRMS2009 - Present (15 years)BLINSCO/PRIVATE LEDGER CORP. (CRD# 6413)1995 - 1999 (4 years)BNATIONSSECURITIES (CRD# 32542)1993 - 1995 (1 year)BMML INVESTORS SERVICES, INC. (CRD# 10409)1992 - 1993 (<1 year)
Disclosure(s)
View By:
9/3/1996
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 5/25/2018
B
Nebraska 5/25/2018
B
Alaska 5/25/2018
B
Nevada 5/31/2018
B
Arizona 5/30/2018
B
New Hampshire 5/30/2018
B
Arkansas 5/29/2018
B
New Jersey 5/29/2018
B
California 6/1/2009
B
New Mexico 5/25/2018
B
Colorado 5/25/2018
B
New York 6/1/2009
B
Connecticut 5/25/2018
B
North Carolina 6/1/2009
B
Delaware 5/30/2018
B
North Dakota 5/25/2018
B
District of Columbia 6/1/2018
B
Ohio 5/25/2018
B
Florida 6/1/2009
B
Oklahoma 5/25/2018
IA
Florida 6/1/2009
B
Oregon 5/25/2018
B
Georgia 6/1/2009
B
Pennsylvania 6/1/2009
B
Hawaii 5/24/2018
B
Puerto Rico 5/30/2018
B
Idaho 5/24/2018
B
Rhode Island 5/30/2018
B
Illinois 6/1/2009
B
South Carolina 5/29/2018
B
Indiana 5/25/2018
B
South Dakota 5/29/2018
B
Iowa 5/30/2018
B
Tennessee 5/25/2018
B
Kansas 6/1/2018
B
Texas 6/1/2009
B
Kentucky 5/25/2018
IA
Texas 5/25/2018
B
Louisiana 5/25/2018
B
Utah 5/29/2018
B
Maine 5/25/2018
B
Vermont 5/25/2018
B
Maryland 5/30/2018
B
Virgin Islands 6/4/2018
B
Massachusetts 5/29/2018
B
Virginia 5/26/2018
B
Michigan 5/29/2018
B
Washington 5/25/2018
B
Minnesota 6/3/2018
B
West Virginia 6/8/2018
B
Mississippi 5/25/2018
B
Wisconsin 5/25/2018
B
Missouri 5/30/2018
B
Wyoming 5/25/2018
B
Montana 5/25/2018

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)
St. Cloud, FL
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
St. Cloud, FL
Registered with this firm since 6/1/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 10/25/2004 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) OCALA, FL
B
 10/15/2004 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) OCALA, FL
IA
 06/08/1999 - 10/19/2004 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) LAKE MARY, FL
B
 06/03/1999 - 10/19/2004 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) BOSTON, MA
B
 01/25/1995 - 04/14/1999 LINSCO/PRIVATE LEDGER CORP. (CRD#:6413) FORT MILL, SC
B
 08/24/1993 - 01/03/1995 NATIONSSECURITIES (CRD#:32542)
B
 08/17/1992 - 07/23/1993 MML INVESTORS SERVICES, INC. (CRD#:10409) SPRINGFIELD, MA
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.