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JULIE GREGORI WILLIAMS
JULIE ANN GREGORI, JULIE ANN WILLIAMS
CRD#: 2332000
IA
B
MORGAN STANLEYCRD#: 149777 1332 Anacapa Street
2nd Floor
Santa Barbara, CA 93101
2nd Floor
Santa Barbara, CA 93101
0
Disclosures
27
Years of Experience
View By:
State Registrations
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Alaska 12/2/2014
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Nevada 2/11/2011
B
Arizona 2/11/2011
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New Mexico 8/21/2019
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Arkansas 12/6/2011
B
New York 9/28/2021
B
California 6/1/2009
B
North Carolina 2/6/2024
IA
California 6/1/2009
B
Ohio 9/2/2016
B
Colorado 2/11/2011
B
Oklahoma 1/15/2020
B
Connecticut 5/31/2023
B
Oregon 2/11/2011
B
Florida 2/11/2011
B
Pennsylvania 2/11/2011
B
Georgia 6/3/2014
B
South Carolina 5/12/2022
B
Hawaii 2/11/2011
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South Dakota 7/13/2017
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Idaho 5/11/2022
B
Texas 2/11/2011
B
Illinois 6/26/2019
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Texas 3/8/2011
B
Kentucky 10/18/2023
B
Utah 1/6/2015
B
Massachusetts 8/11/2020
B
Virginia 8/14/2019
B
Michigan 2/11/2011
B
Washington 2/11/2011
B
Minnesota 2/11/2011
B
Wyoming 2/11/2011
B
Montana 9/1/2016
SRO Registrations
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IA
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 | 12/17/2004 - 06/01/2009 | SANTA BARBARA, CA | |
B | 02/21/2005 - 06/01/2009 | SANTA BARBARA, CA | |
IA | 05/09/2003 - 05/17/2004 | SANTA BARBARA, CA | |
B | 05/19/2003 - 05/17/2004 | NEW YORK, NY | |
B | 04/30/2001 - 06/01/2001 | SOUTHBOROUGH, MA | |
B | 05/03/1995 - 06/02/1999 | SAN FRANCISCO, CA | |
B | 05/06/1993 - 04/25/1995 | NEW YORK, NY |
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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.