Individual Firm
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DAREN FOSTER EPLEY
CRD#: 2396525
IA
B
MORGAN STANLEYCRD#: 149777 Naples, FL
View By:
8/16/2010
Customer Dispute
Denied
State Registrations
B
Alabama 4/16/2012
B
Mississippi 9/11/2019
B
Arizona 6/1/2009
B
Missouri 6/1/2009
B
Arkansas 8/1/2018
B
Montana 6/1/2009
B
California 6/1/2009
B
Nebraska 4/3/2012
B
Colorado 6/1/2009
B
Nevada 6/1/2009
B
Connecticut 6/1/2009
B
New Hampshire 11/1/2023
B
Delaware 6/16/2021
B
New York 6/1/2009
B
District of Columbia 6/1/2009
B
North Carolina 4/3/2012
B
Florida 6/1/2009
B
Ohio 6/1/2009
IA
Florida 5/8/2023
B
Oklahoma 9/20/2019
B
Georgia 4/4/2012
B
Oregon 12/9/2020
B
Idaho 4/3/2012
B
South Carolina 6/8/2017
B
Illinois 6/1/2009
B
South Dakota 7/15/2015
IA
Illinois 6/1/2009
B
Tennessee 4/5/2012
B
Indiana 6/1/2009
B
Texas 6/1/2009
B
Iowa 6/1/2009
IA
Texas 4/2/2020
B
Kansas 2/22/2021
B
Utah 9/20/2019
B
Kentucky 6/1/2009
B
Virginia 4/4/2012
B
Massachusetts 6/1/2009
B
Washington 4/5/2012
B
Michigan 6/1/2009
B
Wisconsin 3/13/2012
B
Minnesota 6/1/2009
SRO Registrations
B
B
B
B
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Learn about permitted activities of registered representatives
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IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/28/1997 - 06/01/2009 | PEORIA, IL | |
B | 10/05/1993 - 06/01/2009 | PEORIA, IL |
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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.