Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
SHAWN PAUL FOWLER
CRD#: 2315128
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 1550 Market Street
Suite 600
Denver, CO 80202
Registration History
19952000200520102015202020252 FIRMS2001 - 2007 (5 years)2 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - Present (15 years)BAUERBACH, POLLAK & RICHARDSON INC. (CRD# 29824)2000 - 2001 (<1 year)BAMERICAN FRONTEER FINANCIAL CO... (CRD# 1398)1993 - 2000 (7 years)
License(s)

State Registrations

B
Alabama 4/19/2024
B
Missouri 6/1/2009
B
Alaska 10/17/2014
B
Montana 5/22/2015
B
Arizona 6/1/2009
B
Nebraska 2/14/2013
B
Arkansas 6/1/2009
B
Nevada 6/1/2009
B
California 6/1/2009
B
New Hampshire 3/25/2013
B
Colorado 6/1/2009
B
New Jersey 1/20/2010
IA
Colorado 6/1/2009
B
New Mexico 6/1/2009
B
Connecticut 6/6/2019
B
New York 6/1/2009
B
Delaware 7/25/2017
B
North Carolina 10/27/2011
B
District of Columbia 11/13/2018
B
North Dakota 8/5/2017
B
Florida 6/1/2009
B
Ohio 6/1/2009
B
Georgia 4/6/2018
B
Oklahoma 6/6/2013
B
Hawaii 6/17/2021
B
Oregon 4/17/2013
B
Idaho 8/25/2010
B
Pennsylvania 6/1/2009
B
Illinois 6/1/2009
B
South Carolina 11/13/2017
B
Indiana 6/1/2009
B
South Dakota 12/12/2018
B
Iowa 9/19/2012
B
Tennessee 8/2/2016
B
Kansas 1/11/2016
B
Texas 6/1/2009
B
Kentucky 1/28/2011
IA
Texas 6/1/2009
B
Louisiana 4/19/2024
B
Utah 6/1/2009
B
Maine 1/6/2015
B
Vermont 4/19/2024
B
Maryland 6/1/2009
B
Virginia 6/1/2009
B
Massachusetts 6/1/2009
B
Washington 2/9/2012
B
Michigan 6/1/2009
B
Wisconsin 2/21/2013
B
Minnesota 6/1/2009
B
Wyoming 6/1/2009

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)
1550 Market Street Suite 600, Denver, CO 80202
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
1550 Market Street Suite 600, Denver, CO 80202
Registered with this firm since 6/1/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) DENVER, CO
B
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) DENVER, CO
IA
 05/25/2001 - 04/02/2007 MORGAN STANLEY (CRD#:7556) DENVER, CO
B
 05/15/2001 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) DENVER, CO
B
 12/19/2000 - 05/24/2001 AUERBACH, POLLAK & RICHARDSON INC. (CRD#:29824) STAMFORD, CT
B
 02/11/1993 - 12/19/2000 AMERICAN FRONTEER FINANCIAL CORPORATION (CRD#:1398) DENVER, CO
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.