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RACHEL SHANLEY STAUFFER
RACHEL STAUFFER WINDSOR
CRD#: 2419337
IA
B
MORGAN STANLEYCRD#: 149777 1080 Jordan Creek Parkway
West Des Moines, IA 50266
West Des Moines, IA 50266
0
Disclosures
22
Years of Experience
View By:
State Registrations
B
Alaska 8/27/2020
B
Minnesota 7/25/2014
B
Arizona 7/25/2014
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Minnesota 2/4/2020
B
California 7/25/2014
B
Missouri 7/25/2014
B
Colorado 7/25/2014
B
Nebraska 3/17/2021
B
Connecticut 1/4/2018
B
New Hampshire 11/30/2023
B
Delaware 7/25/2014
B
New York 7/25/2014
B
District of Columbia 5/14/2015
B
North Carolina 11/22/2022
B
Florida 7/25/2014
B
North Dakota 1/20/2021
B
Georgia 1/4/2023
B
Ohio 6/13/2024
B
Illinois 7/25/2014
B
Oregon 8/1/2024
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Illinois 10/23/2023
B
South Carolina 7/25/2014
B
Iowa 7/1/2014
B
South Dakota 11/26/2014
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Iowa 7/1/2014
B
Tennessee 6/8/2023
B
Maine 7/25/2014
B
Texas 7/25/2014
B
Maryland 8/12/2022
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Texas 12/18/2018
B
Massachusetts 11/24/2014
B
Utah 2/24/2022
B
Michigan 4/5/2021
B
West Virginia 1/2/2020
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 7/1/2014
B
Registered with this firm since 5/12/2014
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 04/26/2007 - 09/11/2008 | WEST DES MOINES, IA | |
B | 08/01/1995 - 08/03/2004 | DES MONIES, IA | |
B | 01/25/1994 - 08/01/1995 | DES MOINES, IA |
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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.
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.