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DAVID LOREN GIULIERI
DAVE GIULIERI
CRD#: 2319913
IA
B
MORGAN STANLEYCRD#: 149777 7500 Old Georgetown Road 10Th Floor
Bethesda, MD 20814
Bethesda, MD 20814
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7/27/1999
Customer Dispute
Denied
State Registrations
B
Alabama 1/20/2016
B
Montana 7/27/2022
B
Arizona 6/1/2009
B
Nebraska 6/27/2018
B
Arkansas 3/16/2021
B
Nevada 5/31/2012
B
California 6/1/2009
B
New Hampshire 3/3/2025
B
Colorado 6/1/2009
B
New Jersey 6/1/2009
B
Connecticut 6/1/2009
B
New Mexico 6/1/2017
B
Delaware 4/23/2014
B
New York 6/1/2009
B
District of Columbia 6/1/2009
B
North Carolina 6/1/2009
IA
District of Columbia 6/1/2009
B
Ohio 6/1/2009
B
Florida 6/1/2009
B
Oklahoma 7/18/2024
B
Georgia 6/1/2009
B
Oregon 6/1/2009
B
Hawaii 6/5/2013
B
Pennsylvania 6/1/2009
B
Illinois 6/1/2009
B
Puerto Rico 11/25/2019
B
Indiana 9/30/2021
B
South Carolina 9/25/2013
B
Iowa 3/12/2021
B
Tennessee 3/17/2022
B
Kentucky 10/16/2020
B
Texas 6/1/2009
B
Louisiana 3/17/2017
IA
Texas 4/8/2020
B
Maine 6/1/2017
B
Utah 10/16/2020
B
Maryland 6/1/2009
B
Vermont 2/10/2020
IA
Maryland 7/2/2010
B
Virgin Islands 7/17/2023
B
Massachusetts 6/1/2009
B
Virginia 6/1/2009
B
Michigan 6/1/2009
B
Washington 6/1/2009
B
Minnesota 4/24/2018
B
West Virginia 6/1/2009
B
Mississippi 8/24/2022
B
Wisconsin 6/1/2009
B
Missouri 12/7/2015
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 | 04/07/1995 - 06/01/2009 | WASHINGTON, DC | |
B | 09/30/1994 - 06/01/2009 | WASHINGTON, DC | |
B | 04/29/1993 - 10/04/1994 | BOSTON, MA |
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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.