Individual Firm
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LUIS F ARRIOLA
CRD#: 2287936
IA
B
MORGAN STANLEYCRD#: 149777 200 South Biscayne Boulevard
Suite 1100
Miami, FL 33131
Suite 1100
Miami, FL 33131
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2/17/2006
Regulatory
Final
State Registrations
B
Arizona 4/12/2017
B
Massachusetts 9/21/2017
B
California 6/1/2009
B
Michigan 8/19/2014
B
Colorado 12/5/2018
B
New Jersey 8/13/2014
B
Connecticut 6/1/2009
B
New York 3/24/2014
B
Delaware 8/15/2014
B
North Carolina 2/5/2018
B
District of Columbia 1/20/2023
B
Pennsylvania 4/27/2022
B
Florida 9/3/2009
B
South Carolina 2/15/2018
IA
Florida 9/3/2009
B
South Dakota 8/21/2024
B
Illinois 8/13/2014
B
Texas 6/8/2020
B
Louisiana 8/20/2024
IA
Texas 6/10/2020
B
Maryland 8/15/2014
B
Wyoming 2/20/2020
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 | 06/03/2002 - 06/03/2009 | MIAMI, FL | |
B | 06/03/2002 - 06/03/2009 | MIAMI, FL | |
IA | 05/18/2009 - 06/01/2009 | MIAMI, FL | |
B | 05/08/2009 - 06/01/2009 | MIAMI, FL | |
B | 05/11/2001 - 06/03/2002 | WEEHAWKEN, NJ | |
IA | 05/11/2001 - 06/01/2002 | MIAMI, FL | |
B | 11/22/1992 - 05/16/2001 | 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.