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
SUSAN WALTERS MORRIS
SUSAN WALTERS MORRIS MS, SUSAN ANN WALTERS
CRD#: 2276283
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 3280 Peachtree Road Northeast
Suite 1900
Atlanta, GA 30305
Registration History
19952000200520102015202020252 FIRMS2009 - 2009 (<1 year)2 FIRMS2009 - Present (15 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2000 - 2009 (8 years)BFIRST UNION SECURITIES, INC. (CRD# 19616)2000 - 2000 (<1 year)BFIRST UNION BROKERAGE SERVICES... (CRD# 8112)1997 - 2000 (2 years)BGUARDIAN INVESTOR SERVICES COR... (CRD# 6635)1992 - 1997 (5 years)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2004 - 2009 (4 years)
Disclosure(s)
View By:
11/28/2006
Customer Dispute
Award / Judgment
License(s)

State Registrations

B
Alabama 6/7/2024
B
Oregon 2/7/2018
B
Arizona 12/11/2019
B
Pennsylvania 1/17/2024
B
Colorado 7/27/2009
B
South Carolina 3/30/2016
B
Florida 6/1/2009
B
Tennessee 1/3/2024
B
Georgia 6/1/2009
IA
Texas 3/19/2020
IA
Georgia 6/1/2009
B
Texas 7/25/2024
B
Illinois 12/20/2019
B
Virginia 6/19/2009
B
New York 12/3/2010
B
Washington 1/2/2024
B
North Carolina 6/1/2009

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)
3280 Peachtree Road Northeast Suite 1900, Atlanta, GA 30305
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
3280 Peachtree Road Northeast Suite 1900, Atlanta, GA 30305
Registered with this firm since 6/1/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/06/2009 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) ATLANTA, GA
B
 03/30/2009 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) ATLANTA, GA
IA
 07/12/2004 - 03/31/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) ATLANTA, GA
B
 09/01/2000 - 03/31/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) ATLANTA, GA
B
 10/01/2000 - 12/11/2000 FIRST UNION SECURITIES, INC. (CRD#:19616) ST. LOUIS, MO
B
 12/04/1997 - 10/01/2000 FIRST UNION BROKERAGE SERVICES, INC. (CRD#:8112) CHARLOTTE, NC
B
 09/22/1992 - 10/28/1997 GUARDIAN INVESTOR SERVICES CORPORATION (CRD#:6635) NEW YORK, NY
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.