Individual Firm
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DAVID DANIEL MUMFORD
DAVD MUMFORD
CRD#: 2280989
IA
B
MORGAN STANLEYCRD#: 149777 1400 Page Mill Road
Palo Alto, CA 94304
Palo Alto, CA 94304
View By:
3/2/1999
Customer Dispute
Denied
State Registrations
B
Alaska 2/27/2025
B
Montana 7/1/2016
B
Arizona 6/1/2009
B
Nevada 6/1/2009
B
California 6/1/2009
B
New Hampshire 6/1/2009
IA
California 6/1/2009
B
New Jersey 6/1/2009
B
Colorado 6/1/2009
B
New Mexico 1/29/2018
B
Connecticut 2/18/2025
B
New York 6/1/2009
B
Delaware 2/27/2025
B
North Carolina 6/1/2009
B
District of Columbia 2/27/2025
B
Ohio 6/1/2009
B
Florida 6/1/2009
B
Oklahoma 6/1/2009
B
Georgia 2/27/2025
B
Oregon 6/1/2009
B
Hawaii 6/1/2009
B
Pennsylvania 6/1/2009
B
Idaho 2/27/2025
B
South Carolina 11/17/2015
B
Illinois 6/1/2009
B
Tennessee 2/27/2025
B
Kentucky 2/27/2025
B
Texas 6/1/2009
B
Louisiana 4/6/2017
IA
Texas 4/15/2020
B
Maryland 6/1/2009
B
Utah 6/1/2009
B
Massachusetts 6/1/2009
B
Virginia 6/1/2009
B
Michigan 3/2/2015
B
Washington 6/1/2009
B
Minnesota 6/1/2009
B
Wisconsin 10/21/2021
B
Missouri 6/1/2009
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 | 07/08/1997 - 06/01/2009 | PALO ALTO, CA | |
B | 04/06/1994 - 06/01/2009 | PALO ALTO, CA | |
B | 08/09/1993 - 10/20/1993 | NEW YORK, NY | |
B | 11/10/1992 - 08/11/1993 | 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.