Individual Firm
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TOM TURNEY EDWARDS JR
TOM TURNEY EDWARDS
CRD#: 2372982
IA
B
MORGAN STANLEYCRD#: 149777 101 California Street 23Rd Floor
San Francisco, CA 94111
San Francisco, CA 94111
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9/20/2005
Customer Dispute
Denied
3/7/2003
Customer Dispute
Denied
State Registrations
B
Alabama 1/15/2019
B
Nevada 1/9/2015
B
Alaska 5/20/2021
B
New York 1/9/2015
B
Arizona 1/9/2015
B
North Carolina 1/9/2015
B
California 1/9/2015
B
Ohio 1/9/2015
IA
California 1/9/2015
B
Oregon 1/9/2015
B
Colorado 1/9/2015
B
Pennsylvania 1/9/2015
B
Delaware 4/10/2015
B
Rhode Island 8/10/2016
B
Florida 1/9/2015
B
South Carolina 7/18/2024
B
Hawaii 1/29/2015
B
South Dakota 1/9/2015
B
Illinois 2/2/2016
B
Tennessee 1/9/2015
B
Iowa 4/10/2015
B
Texas 1/9/2015
B
Kentucky 5/12/2016
IA
Texas 1/10/2015
B
Maryland 1/22/2015
B
Utah 1/9/2015
B
Massachusetts 10/20/2015
B
Washington 1/9/2015
B
Minnesota 4/10/2015
B
Wisconsin 1/5/2023
B
Missouri 1/9/2015
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
Registered with this firm since 1/9/2015
B
Registered with this firm since 1/9/2015
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/14/2006 - 02/03/2015 | SAN FRANCISCO, CA | |
B | 07/14/2006 - 02/03/2015 | SAN FRANCISCO, CA | |
IA | 04/17/2001 - 07/21/2006 | SAN FRANCISCO, CA | |
B | 04/06/2001 - 07/21/2006 | SAN FRANCISCO, CA | |
B | 09/09/1998 - 04/09/2001 | SAN FRANCISCO, CA | |
B | 08/10/1993 - 09/10/1998 | 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.