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Detailed Report
DAVID JAMES TROGAN JR
DAVID TROGAN
CRD#: 2291468
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 55 South Lake Avenue Pasadena Towers - Tower II
Suite 700
Pasadena, CA 91101
Registration History
19952000200520102015202020252 FIRMS1993 - 2002 (9 years)2 FIRMS2002 - 2009 (6 years)2 FIRMS2009 - 2009 (<1 year)2 FIRMS2009 - Present (15 years)
License(s)

State Registrations

B
Arizona 6/1/2009
B
New York 6/1/2009
B
California 6/1/2009
B
North Dakota 12/20/2021
IA
California 6/1/2009
B
Ohio 6/7/2016
B
Colorado 11/6/2013
B
Pennsylvania 12/8/2011
B
Delaware 1/20/2023
B
South Carolina 11/22/2021
B
Florida 5/22/2013
B
Texas 6/1/2009
B
Hawaii 5/24/2022
IA
Texas 3/3/2020
B
Maryland 9/13/2023
B
Washington 3/16/2017
B
Michigan 2/7/2020
B
Wyoming 2/15/2023
B
Nevada 5/17/2013

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)
55 South Lake Avenue Pasadena Towers - Tower II Suite 700, Pasadena, CA 91101
Montecito, CA
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
55 South Lake Avenue Pasadena Towers - Tower II Suite 700, Pasadena, CA 91101
Montecito, CA
Registered with this firm since 6/1/2009
Previous Registration(s)
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IA
 05/26/2009 - 07/23/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) PASADENA, CA
B
 05/26/2009 - 07/23/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) PASADENA, CA
IA
 09/18/2002 - 06/04/2009 UBS FINANCIAL SERVICES INC. (CRD#:8174) PASADENA, CA
B
 09/18/2002 - 06/04/2009 UBS FINANCIAL SERVICES INC. (CRD#:8174) PASADENA, CA
IA
 05/21/1993 - 09/25/2002 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) PASADENA, CA
B
 01/14/1993 - 09/25/2002 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) 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.