Individual Firm
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ALICE B NEILL
ALICE MARIE BURCH
CRD#: 2282992
IA
B
MORGAN STANLEYCRD#: 149777 3280 Peachtree Road Northeast
Suite 1900
Atlanta, GA 30305
Suite 1900
Atlanta, GA 30305
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8/21/2009
Customer Dispute
Settled
State Registrations
B
Alabama 9/22/2014
B
Massachusetts 4/30/2020
B
Arizona 2/13/2025
B
Michigan 6/1/2009
B
Arkansas 6/25/2012
B
Minnesota 6/1/2009
B
California 8/22/2022
B
Missouri 6/1/2009
B
Delaware 6/27/2022
B
Nebraska 6/1/2009
B
District of Columbia 11/7/2023
B
New York 5/23/2012
B
Florida 9/10/2013
B
North Carolina 5/25/2018
B
Georgia 2/5/2010
B
Ohio 6/1/2009
IA
Georgia 10/15/2012
B
Texas 6/1/2009
B
Illinois 6/1/2009
IA
Texas 4/2/2020
IA
Illinois 6/1/2009
B
Virginia 2/10/2025
B
Indiana 5/12/2011
B
Wisconsin 6/1/2009
SRO Registrations
B
B
B
B
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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 | 12/28/1997 - 06/01/2009 | CHICAGO, IL | |
B | 09/13/1996 - 06/01/2009 | CHICAGO, IL | |
B | 01/09/1998 - 09/01/1998 | NEW YORK, NY | |
B | 10/13/1993 - 07/08/1996 | 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.