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Detailed Report
DAVID ANDREW HATZ
DAVID HATZ
CRD#: 2320974
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 Aventura, FL
Registration History
19952000200520102015202020252 FIRMS2000 - 2005 (5 years)2 FIRMS2005 - 2009 (4 years)2 FIRMS2009 - 2010 (1 year)2 FIRMS2010 - 2019 (8 years)2 FIRMS2019 - Present (5 years)BCIBC WORLD MARKETS CORP. (CRD# 630)1993 - 2000 (6 years)BLEHMAN BROTHERS INC. (CRD# 7506)1993 - 1993 (<1 year)
License(s)

State Registrations

B
Alabama 4/15/2019
B
New Jersey 4/1/2019
B
Alaska 4/1/2019
B
New Mexico 4/1/2019
B
Arizona 4/1/2019
B
New York 4/1/2019
B
California 4/1/2019
B
North Carolina 4/1/2019
B
Colorado 4/25/2019
B
Oregon 5/28/2019
B
Florida 3/29/2019
B
Pennsylvania 4/1/2019
IA
Florida 4/1/2019
B
Puerto Rico 4/1/2019
B
Georgia 3/29/2019
B
South Carolina 4/1/2019
B
Illinois 4/1/2019
B
Texas 4/1/2019
B
Kansas 4/1/2019
IA
Texas 4/1/2019
B
Maryland 5/22/2019
B
Utah 4/1/2019
B
Massachusetts 4/1/2019
B
Virginia 4/1/2019
B
Michigan 4/1/2019
B
Washington 4/1/2019
B
Mississippi 4/1/2019
B
Wisconsin 4/1/2019
B
Nevada 4/1/2019

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)
Aventura, FL
Registered with this firm since 4/1/2019
B
MORGAN STANLEY (CRD#:149777)
Aventura, FL
Registered with this firm since 3/29/2019
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 09/14/2010 - 04/09/2019 UBS FINANCIAL SERVICES INC. (CRD#:8174) AVENTURA, FL
B
 09/03/2010 - 04/09/2019 UBS FINANCIAL SERVICES INC. (CRD#:8174) AVENTURA, FL
IA
 06/01/2009 - 09/30/2010 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) AVENTURA, FL
B
 06/01/2009 - 09/30/2010 MORGAN STANLEY SMITH BARNEY (CRD#:149777) AVENTURA, FL
IA
 06/14/2005 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) AVENTURA, FL
B
 06/13/2005 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) AVENTURA, FL
IA
 04/28/2000 - 07/08/2005 UBS FINANCIAL SERVICES INC. (CRD#:8174) AVENTURA, FL
B
 04/28/2000 - 07/08/2005 UBS FINANCIAL SERVICES INC. (CRD#:8174) WEEHAWKEN, NJ
B
 08/06/1993 - 05/10/2000 CIBC WORLD MARKETS CORP. (CRD#:630) NEW YORK, NY
B
 04/15/1993 - 06/08/1993 LEHMAN BROTHERS INC. (CRD#:7506) 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.