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Registration History
197519801985199019952000200520102015202020252 FIRMS2009 - Present (15 years)BMORGAN STANLEY & CO. INCORPORATED (CRD# 8209)2007 - 2009 (2 years)BMORGAN STANLEY DW INC. (CRD# 7556)2005 - 2007 (1 year)BMORGAN STANLEY DW INC. (CRD# 7556)1997 - 2005 (8 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1994 - 1997 (3 years)IAMORGAN STANLEY & CO. INCORPORATED (CRD# 8209)2009 - 2009 (<1 year)IAMORGAN STANLEY (CRD# 7556)2002 - 2004 (2 years)
Disclosure(s)
View By:
5/8/1975
Criminal
Final Disposition
License(s)

State Registrations

B
Arizona 4/13/2009

B
Mississippi 4/6/2016

IA
Arizona 4/21/2009

B
Montana 7/13/2010

B
California 6/6/2024

B
Nevada 4/7/2020

B
Colorado 4/12/2023

B
New Hampshire 5/10/2019

B
Delaware 8/5/2013

B
New Mexico 8/25/2009

B
Florida 2/6/2020

B
North Carolina 4/13/2009

B
Georgia 4/13/2009

B
Texas 9/17/2021

B
Illinois 9/30/2019

B
Virginia 1/24/2024

B
Massachusetts 5/20/2019

B
Washington 4/13/2009

B
Michigan 5/20/2015

B
Wisconsin 9/16/2020

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
TUCSON, AZ
Registered with this firm since 4/13/2009

B
LPL FINANCIAL LLC (CRD#:6413)
TUCSON, AZ
Registered with this firm since 4/13/2009

Previous Registration(s)
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IA
03/05/2009 - 04/24/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) TUCSON, AZ
B
04/02/2007 - 04/24/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) TUCSON, AZ
B
09/22/2005 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) TUCSON, AZ
B
05/29/1997 - 08/24/2005 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
IA
11/18/2002 - 12/31/2004 MORGAN STANLEY (CRD#:7556) TUCSON, AZ
B
01/06/1994 - 05/21/1997 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
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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.