Individual Firm
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MARK ROBERT LEIGHTON
CRD#: 2402681
IA
B
MORGAN STANLEYCRD#: 149777 Port Orange, FL
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12/6/2001
Customer Dispute
Denied
State Registrations
B
Alaska 10/16/2013
B
New Hampshire 6/1/2009
B
Arizona 6/27/2023
B
New Jersey 6/1/2009
B
California 6/1/2009
B
New Mexico 6/3/2024
B
Colorado 4/5/2023
B
New York 6/1/2009
B
Connecticut 6/1/2009
B
North Carolina 6/30/2015
B
Florida 6/1/2009
B
Ohio 6/1/2009
IA
Florida 3/10/2021
B
Oklahoma 6/26/2015
B
Georgia 6/1/2009
B
Oregon 5/11/2020
B
Idaho 5/25/2011
B
Pennsylvania 6/26/2015
B
Illinois 6/1/2009
B
Rhode Island 7/17/2018
B
Indiana 8/15/2023
B
South Carolina 6/26/2015
B
Maine 6/1/2009
B
Tennessee 10/8/2014
IA
Maine 6/1/2009
B
Texas 6/1/2009
B
Maryland 1/9/2019
IA
Texas 10/12/2009
B
Massachusetts 6/1/2009
B
Vermont 12/22/2020
B
Michigan 8/27/2015
B
Virginia 6/1/2009
B
Minnesota 11/15/2024
B
Washington 11/1/2011
B
Missouri 8/15/2023
B
Wyoming 1/24/2022
B
Montana 1/26/2023
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
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/02/2007 - 06/01/2009 | PORTLAND, ME | |
B | 04/02/2007 - 06/01/2009 | PORTLAND, ME | |
IA | 11/17/2006 - 04/02/2007 | PORTLAND, ME | |
B | 11/17/2006 - 04/02/2007 | PORTLAND, ME | |
IA | 08/24/2004 - 11/24/2006 | PORTLAND, ME | |
B | 10/07/1993 - 11/24/2006 | PORTLAND, ME |
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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.