Individual Firm
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RUSSEL THOMAS DINGMAN
RUSSEL DINGMAN
CRD#: 2314614
IA
B
MORGAN STANLEYCRD#: 149777 2303 SE 17th Street
Suite 100
OCALA, FL 34471
Suite 100
OCALA, FL 34471
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1/12/2011
Customer Dispute
Settled
3/30/2006
Regulatory
Final
State Registrations
B
Alabama 3/11/2014
B
Montana 6/12/2023
B
Alaska 6/5/2023
B
New Hampshire 4/29/2019
B
Arizona 7/25/2019
B
New Jersey 2/12/2010
B
Arkansas 2/21/2019
B
New Mexico 3/26/2012
B
California 3/27/2012
B
New York 2/12/2010
B
Colorado 2/10/2014
B
North Carolina 2/12/2010
B
Connecticut 5/20/2020
B
North Dakota 2/25/2019
B
District of Columbia 9/5/2019
B
Ohio 9/18/2018
B
Florida 2/12/2010
B
Oklahoma 2/12/2019
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Florida 2/25/2010
B
Oregon 7/2/2021
B
Georgia 2/12/2010
B
Pennsylvania 3/16/2010
B
Illinois 11/16/2017
B
Rhode Island 3/26/2012
B
Indiana 2/26/2019
B
South Carolina 2/12/2010
B
Kansas 3/29/2012
B
Tennessee 5/31/2023
B
Kentucky 6/11/2020
B
Texas 2/12/2010
B
Louisiana 9/9/2020
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Texas 2/12/2010
B
Maine 2/3/2021
B
Utah 2/20/2019
B
Maryland 2/17/2015
B
Vermont 5/31/2023
B
Massachusetts 3/4/2015
B
Virginia 2/12/2010
B
Michigan 6/15/2012
B
Washington 2/11/2019
B
Minnesota 5/31/2023
B
Wisconsin 2/12/2010
B
Mississippi 1/19/2017
B
Wyoming 5/31/2023
SRO Registrations
B
B
B
B
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Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 2/12/2010
B
Registered with this firm since 2/12/2010
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/14/2009 - 02/16/2010 | OCALA, FL | |
B | 08/14/2009 - 02/16/2010 | OCALA, FL | |
IA | 10/08/1999 - 08/15/2009 | OCALA, FL | |
B | 10/08/1999 - 08/14/2009 | OCALA, FL | |
B | 03/11/1993 - 10/22/1999 | 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.
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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.