Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
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Detailed Report
Registration History
19952000200520102015202020252 FIRMS1996 - 2005 (9 years)2 FIRMS2005 - 2023 (17 years)2 FIRMS2023 - Present (2 years)BFIRST MIAMI SECURITIES, INC. (CRD# 7793)1993 - 1995 (2 years)
Disclosure(s)
View By:
5/9/2022
Customer Dispute
Settled
11/13/2013
Customer Dispute
Settled
7/20/2004
Customer Dispute
Denied
12/17/2003
Customer Dispute
Closed-No Action
11/24/1997
Customer Dispute
Closed-No Action
License(s)

State Registrations

B
Arizona 3/3/2023
B
Nebraska 3/3/2023
B
California 3/3/2023
B
Nevada 3/3/2023
B
Colorado 3/6/2023
B
New Jersey 3/3/2023
B
Connecticut 3/3/2023
B
New York 3/3/2023
B
District of Columbia 3/3/2023
B
North Carolina 3/13/2023
B
Florida 3/3/2023
B
Ohio 3/3/2023
IA
Florida 3/6/2023
B
Pennsylvania 3/3/2023
B
Georgia 3/3/2023
B
Rhode Island 3/3/2023
B
Hawaii 7/12/2023
B
South Carolina 3/3/2023
B
Illinois 5/1/2023
B
Tennessee 3/3/2023
B
Louisiana 3/3/2023
B
Texas 3/3/2023
B
Maine 3/3/2023
IA
Texas 3/3/2023
B
Maryland 3/3/2023
B
Utah 3/3/2023
B
Massachusetts 4/26/2023
B
Virginia 3/3/2023
B
Michigan 3/3/2023
B
Washington 3/3/2023
B
Montana 3/22/2023
B
West Virginia 3/3/2023

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MORGAN STANLEY (CRD#:149777)
Boynton Beach, FL
Registered with this firm since 3/3/2023
B
MORGAN STANLEY (CRD#:149777)
Boynton Beach, FL
Registered with this firm since 3/3/2023
Previous Registration(s)
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IA
 05/31/2005 - 03/06/2023 JANNEY MONTGOMERY SCOTT LLC (CRD#:463) FT. LAUDERDALE, FL
B
 05/27/2005 - 03/06/2023 JANNEY MONTGOMERY SCOTT LLC (CRD#:463) FT. LAUDERDALE, FL
IA
 01/11/1996 - 06/02/2005 MORGAN STANLEY (CRD#:7556) AVENTURA, FL
B
 01/05/1996 - 06/02/2005 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
B
 08/20/1993 - 12/12/1995 FIRST MIAMI SECURITIES, INC. (CRD#:7793) BOCA RATON, FL
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.