Individual Firm
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.
SCOTT BRIAN AUSTIN
CRD#: 2265652
IA
B
MORGAN STANLEYCRD#: 149777 4350 La Jolla Village Drive
Suite 1000
San Diego, CA 92122
Suite 1000
San Diego, CA 92122
View By:
2/24/1997
Employment Separation After Allegations
State Registrations
B
Arizona 2/7/2012
B
Missouri 4/14/2020
B
California 6/1/2009
B
Montana 10/22/2018
IA
California 6/1/2009
B
Nevada 2/13/2013
B
Colorado 7/10/2017
B
New York 1/13/2012
B
Delaware 9/20/2017
B
North Carolina 6/1/2009
B
Florida 2/20/2013
B
Ohio 7/28/2020
B
Georgia 11/8/2018
B
Oregon 5/18/2016
B
Hawaii 10/22/2018
B
Pennsylvania 1/11/2021
B
Idaho 3/26/2018
B
Texas 6/1/2009
B
Iowa 3/23/2023
IA
Texas 6/1/2009
B
Kentucky 11/20/2018
B
Utah 10/26/2022
B
Massachusetts 3/21/2023
B
Virgin Islands 8/14/2020
B
Michigan 10/25/2018
B
Virginia 4/14/2020
B
Minnesota 10/11/2022
B
Washington 1/18/2019
B
Mississippi 3/7/2013
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
Registered with this firm since 6/1/2009
B
Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/03/2009 - 06/01/2009 | SAN DIEGO, CA | |
B | 02/27/2009 - 06/01/2009 | SAN DIEGO, CA | |
IA | 05/12/1998 - 03/03/2009 | SAN DIEGO, CA | |
B | 07/12/1999 - 03/03/2009 | SAN DIEGO, CA | |
B | 05/14/1997 - 07/12/1999 | OAKLAND, CA | |
B | 11/10/1995 - 03/04/1997 | SAN FRANCISCO, CA | |
B | 06/21/1993 - 12/01/1995 | BOSTON, MA | |
B | 06/21/1993 - 12/01/1995 | BOSTON, MA | |
B | 08/03/1992 - 02/03/1993 | 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.