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
JAMES FRANCIS MEYERS
CRD#: 2326145
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 2100 Georgetown Drive
Suite 500
Sewickley, PA 15143
Registration History
19952000200520102015202020252 FIRMS2009 - 2009 (<1 year)2 FIRMS2009 - Present (15 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2003 - 2009 (5 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1994 - 2003 (9 years)
License(s)

State Registrations

B
Alabama 8/27/2021
B
Nevada 11/14/2017
B
Arizona 10/15/2012
B
New Jersey 6/1/2009
B
California 6/1/2009
B
New Mexico 2/6/2015
B
Colorado 5/6/2021
B
New York 6/1/2009
B
Connecticut 2/4/2015
B
North Carolina 2/9/2015
B
Delaware 10/10/2016
B
Ohio 6/1/2009
B
Florida 6/1/2009
B
Pennsylvania 6/1/2009
B
Georgia 6/1/2009
IA
Pennsylvania 8/7/2013
B
Idaho 7/5/2016
B
South Carolina 5/29/2015
B
Illinois 1/26/2020
B
Tennessee 6/1/2009
B
Kansas 8/7/2019
B
Texas 1/27/2018
B
Louisiana 2/6/2015
IA
Texas 4/2/2020
B
Maine 2/11/2015
B
Virginia 6/1/2009
B
Maryland 6/1/2009
B
Washington 2/9/2015
B
Massachusetts 2/11/2015
B
West Virginia 6/1/2009
B
Michigan 11/5/2012
B
Wisconsin 4/12/2019
B
Missouri 5/21/2019

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)
2100 Georgetown Drive Suite 500, Sewickley, PA 15143
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
2100 Georgetown Drive Suite 500, Sewickley, PA 15143
Registered with this firm since 6/1/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 03/19/2009 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) WEXFORD, PA
B
 03/13/2009 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) WEXFORD, PA
B
 08/29/2003 - 03/26/2009 UBS FINANCIAL SERVICES INC. (CRD#:8174) PITTSBURGH, PA
B
 02/12/1994 - 09/12/2003 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) 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.