Individual Firm
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BRAD S STANEK
CRD#: 2345834
IA
B
MORGAN STANLEYCRD#: 149777 Tower Lakes, IL
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8/24/2004
Customer Dispute
Settled
5/30/2002
Customer Dispute
Closed-No Action
5/3/2002
Customer Dispute
Closed-No Action
State Registrations
B
Alabama 4/9/2015
B
Montana 3/23/2015
B
Alaska 3/16/2015
B
Nebraska 3/23/2015
B
Arizona 6/1/2009
B
Nevada 6/1/2009
B
Arkansas 3/23/2015
B
New Hampshire 3/23/2015
B
California 6/1/2009
B
New Jersey 9/30/2013
B
Colorado 6/1/2009
B
New Mexico 3/23/2015
B
Connecticut 6/1/2009
B
New York 6/1/2009
B
Delaware 3/24/2015
B
North Carolina 3/23/2015
B
Florida 12/6/2012
B
North Dakota 3/23/2015
B
Georgia 4/1/2015
B
Ohio 6/1/2009
B
Hawaii 3/20/2015
B
Oklahoma 6/1/2009
B
Idaho 3/16/2015
B
Oregon 3/20/2015
B
Illinois 6/1/2009
B
Pennsylvania 1/7/2014
IA
Illinois 6/1/2009
B
Rhode Island 3/16/2015
B
Indiana 6/1/2009
B
South Carolina 6/1/2009
B
Iowa 3/16/2015
B
South Dakota 3/16/2015
B
Kansas 3/5/2015
B
Tennessee 6/18/2009
B
Kentucky 2/28/2013
B
Texas 6/1/2009
B
Louisiana 3/16/2015
IA
Texas 9/28/2016
B
Maine 3/26/2015
B
Utah 3/24/2015
B
Maryland 6/1/2009
B
Vermont 3/27/2015
B
Massachusetts 3/25/2015
B
Virginia 3/23/2015
B
Michigan 6/1/2009
B
Washington 3/26/2015
B
Minnesota 6/10/2009
B
West Virginia 3/25/2015
B
Mississippi 3/25/2015
B
Wisconsin 6/11/2009
B
Missouri 3/17/2015
B
Wyoming 3/17/2015
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
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/30/2009 - 06/01/2009 | CHICAGO, IL | |
B | 03/27/2009 - 06/01/2009 | CHICAGO, IL | |
IA | 04/12/1998 - 03/30/2009 | CHICAGO, IL | |
B | 04/30/1993 - 03/30/2009 | CHICAGO, IL |
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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.