Individual Firm
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CHRISTOPHER NEIL BENEDICT
CHRIS NEIL BENEDICT
CRD#: 2355069
IA
B
MORGAN STANLEYCRD#: 149777 10960 Wilshire Boulevard
Suite 2000
Los Angeles, CA 90024
Suite 2000
Los Angeles, CA 90024
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4/10/2006
Customer Dispute
Settled
State Registrations
B
Arizona 6/1/2009
B
Nevada 1/31/2017
B
California 6/1/2009
B
New Hampshire 6/21/2018
IA
California 6/2/2009
B
New Jersey 1/9/2018
B
Colorado 4/4/2023
B
New Mexico 11/2/2009
B
Connecticut 2/20/2019
B
New York 6/1/2009
B
Delaware 1/22/2024
B
North Carolina 1/30/2023
B
Florida 10/8/2015
B
Oregon 8/25/2017
B
Hawaii 8/26/2016
B
Washington 3/8/2019
B
Massachusetts 9/12/2023
B
Wisconsin 7/1/2015
B
Michigan 1/9/2017
B
Wyoming 7/15/2024
B
Minnesota 3/22/2024
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
Registered with this firm since 6/2/2009
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Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/28/2009 - 07/23/2009 | LOS ANGELES, CA | |
B | 05/28/2009 - 07/23/2009 | LOS ANGELES, CA | |
IA | 01/03/2003 - 06/04/2009 | LOS ANGELES, CA | |
B | 01/03/2003 - 06/04/2009 | LOS ANGELES, CA | |
IA | 09/10/2002 - 01/03/2003 | LOS ANGELES, CA | |
B | 09/10/2002 - 01/03/2003 | NEW YORK, NY | |
B | 10/01/2000 - 09/06/2002 | NEW YORK, NY | |
B | 05/26/1995 - 07/30/1996 | NEW YORK, NY | |
B | 10/06/1993 - 05/05/1995 | 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.