Individual Firm
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GERARD S. SPIEGEL JR.
GERARD S. SPIEGEL JR, GERARD STEPHEN SPIEGEL JR, GERARD STEPHEN JR SPIEGEL, ROD SPIEGEL, GERARD S. SPIEGEL JR…
CRD#: 2373040
IA
B
MORGAN STANLEYCRD#: 149777 500 Post Road East
3Rd Floor
Westport, CT 06880
3Rd Floor
Westport, CT 06880
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9/9/1978
Criminal
Final Disposition
State Registrations
B
Alaska 12/14/2018
B
Montana 10/9/2024
B
Arizona 2/8/2023
B
Nevada 11/18/2022
B
California 6/1/2009
B
New Hampshire 11/26/2018
B
Colorado 3/4/2010
B
New Jersey 2/16/2016
B
Connecticut 6/1/2009
B
New Mexico 11/26/2018
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Connecticut 6/1/2009
B
New York 6/1/2009
B
Delaware 2/17/2020
B
North Carolina 6/1/2009
B
District of Columbia 8/26/2020
B
Ohio 11/21/2024
B
Florida 6/1/2009
B
Oklahoma 8/9/2022
IA
Florida 4/11/2023
B
Oregon 8/18/2022
B
Georgia 11/8/2011
B
Pennsylvania 11/21/2018
B
Illinois 11/19/2018
B
Rhode Island 11/21/2018
B
Iowa 12/2/2024
B
South Carolina 11/20/2018
B
Kansas 6/26/2019
B
Texas 5/20/2014
B
Louisiana 11/19/2018
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Texas 11/19/2018
B
Maine 11/26/2018
B
Vermont 6/1/2009
B
Maryland 6/1/2009
B
Virginia 6/1/2009
B
Massachusetts 6/1/2009
B
Washington 4/3/2024
B
Michigan 11/27/2018
B
West Virginia 12/3/2018
B
Minnesota 3/16/2023
B
Wisconsin 3/23/2023
B
Missouri 11/20/2018
B
Wyoming 11/20/2018
SRO Registrations
B
B
B
B
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Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 6/1/2009
B
Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/01/2007 - 06/01/2009 | FAIRFIELD, CT | |
B | 06/01/2007 - 06/01/2009 | FAIRFIELD, CT | |
IA | 11/08/1993 - 06/15/2007 | WESTPORT, CT | |
B | 08/13/1993 - 06/15/2007 | WESTPORT, CT |
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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.
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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.
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