Individual Firm
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CHARLTON DALE HOMBS
CRD#: 2324074
IA
B
MORGAN STANLEYCRD#: 149777 14805 North Outer forty Road Suite 200
Chesterfield, MO 63017
Chesterfield, MO 63017
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6/24/2002
Customer Dispute
Pending
State Registrations
B
California 6/1/2009
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Missouri 6/1/2009
B
Colorado 3/20/2020
B
Nevada 3/2/2021
B
Delaware 1/11/2018
B
New Jersey 3/27/2014
B
District of Columbia 2/4/2015
B
New York 1/8/2013
B
Florida 6/1/2009
B
North Carolina 12/3/2015
B
Idaho 11/1/2012
B
Ohio 8/2/2021
B
Illinois 6/1/2009
B
Tennessee 2/23/2021
B
Indiana 11/1/2012
B
Texas 2/20/2014
B
Kansas 5/10/2011
IA
Texas 4/2/2020
B
Kentucky 6/1/2009
B
Virginia 10/5/2012
B
Louisiana 6/1/2009
B
Washington 11/3/2020
B
Missouri 6/1/2009
SRO Registrations
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B
B
B
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Registered with this firm since 6/1/2009
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Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/23/2001 - 06/01/2009 | CHESTERFIELD, MO | |
B | 10/15/1999 - 06/01/2009 | CHESTERFIELD, MO | |
B | 01/23/1994 - 10/22/1999 | ST. LOUIS, MO |
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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.