Individual Firm
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JULIO ALEJANDRO GUEMES
CRD#: 2277566
IA
B
MORGAN STANLEYCRD#: 149777 200 S. Biscayne Blvd.
Miami, FL 33131
Miami, FL 33131
View By:
1/27/2000
Customer Dispute
Award / Judgment
State Registrations
B
California 5/17/2021
B
New York 5/17/2021
B
Delaware 8/1/2024
B
South Dakota 3/10/2022
B
Florida 5/17/2021
B
Texas 5/18/2021
IA
Florida 5/18/2021
IA
Texas 5/18/2021
B
Illinois 2/25/2025
B
Wyoming 1/6/2022
B
Kentucky 2/25/2025
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 5/18/2021
B
Registered with this firm since 5/17/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/08/2007 - 05/21/2021 | MIAMI, FL | |
B | 02/07/2007 - 05/21/2021 | MIAMI, FL | |
IA | 03/23/2006 - 02/13/2007 | MIAMI, FL | |
B | 01/03/2003 - 02/13/2007 | MIAMI, FL | |
B | 10/24/1994 - 01/03/2003 | NEW YORK, NY | |
B | 02/09/1994 - 08/02/1994 | NEW YORK, NY |
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.