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Detailed Report
RICHARD DAVID WINSON
DAVE WINSON, R. DAVID WINSON
CRD#: 2396102
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 7733 Forsyth Boulevard
Suite 2100
Clayton, MO 63105
Registration History
19952000200520102015202020252 FIRMS2008 - 2009 (1 year)2 FIRMS2009 - Present (15 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1993 - 2008 (14 years)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1995 - 2008 (12 years)
License(s)

State Registrations

B
Alabama 6/12/2024
IA
Missouri 6/1/2009
B
Arizona 6/1/2009
B
Montana 8/8/2018
B
Arkansas 6/1/2009
B
New Jersey 6/1/2009
B
California 6/1/2009
B
New York 6/1/2009
B
Colorado 6/8/2012
B
North Carolina 6/1/2009
B
Connecticut 6/12/2024
B
Ohio 6/1/2009
B
District of Columbia 4/2/2013
B
Oklahoma 1/9/2017
B
Florida 6/1/2009
B
Oregon 5/9/2011
B
Georgia 11/16/2018
B
Pennsylvania 6/12/2024
B
Idaho 10/22/2024
B
South Carolina 6/1/2009
B
Illinois 6/1/2009
B
Tennessee 6/13/2024
B
Indiana 6/1/2009
B
Texas 6/1/2009
B
Kansas 6/1/2009
IA
Texas 6/1/2009
B
Kentucky 6/12/2024
B
Utah 6/1/2009
B
Louisiana 6/4/2015
B
Virginia 6/1/2009
B
Maryland 6/1/2009
B
Washington 4/11/2017
B
Massachusetts 6/1/2009
B
West Virginia 8/15/2023
B
Michigan 6/6/2017
B
Wisconsin 5/23/2011
B
Minnesota 11/1/2016
B
Wyoming 6/12/2024
B
Missouri 6/1/2009

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)
7733 Forsyth Boulevard Suite 2100, Clayton, MO 63105
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
7733 Forsyth Boulevard Suite 2100, Clayton, MO 63105
Registered with this firm since 6/1/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 02/15/2008 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) ST. LOUIS, MO
B
 02/15/2008 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) ST. LOUIS, MO
IA
 11/01/1995 - 02/28/2008 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) CLAYTON, MO
B
 09/08/1993 - 02/28/2008 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) CLAYTON, MO
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.