Individual Firm
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STEVEN PAUL WURZER
CRD#: 2429427
IA
B
MORGAN STANLEYCRD#: 149777 MULTIBAND TOWER
2000 44TH ST., SUITE 402
FARGO, ND 58103
2000 44TH ST., SUITE 402
FARGO, ND 58103
View By:
10/5/2022
Customer Dispute
Settled
State Registrations
B
Arizona 6/1/2009
B
Nevada 10/25/2018
B
Arkansas 3/30/2015
B
New York 10/9/2021
B
California 6/1/2009
B
North Carolina 6/6/2013
B
Colorado 6/1/2009
B
North Dakota 6/1/2009
B
Delaware 3/30/2015
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North Dakota 6/1/2009
B
Florida 6/1/2009
B
Oregon 3/30/2015
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Florida 12/20/2023
B
Pennsylvania 1/27/2017
B
Georgia 6/1/2009
B
South Dakota 6/1/2009
B
Kansas 11/8/2022
B
Texas 7/27/2010
B
Maryland 5/9/2024
IA
Texas 9/23/2010
B
Minnesota 6/1/2009
B
Washington 6/1/2009
B
Montana 6/1/2009
B
Wisconsin 10/5/2015
B
Nebraska 6/1/2009
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
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Registered with this firm since 6/1/2009
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Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/02/2007 - 06/01/2009 | FARGO, ND | |
B | 04/02/2007 - 06/01/2009 | FARGO, ND | |
IA | 07/26/2004 - 04/02/2007 | FARGO, ND | |
B | 07/16/2004 - 04/02/2007 | FARGO, ND | |
IA | 12/31/1996 - 07/29/2004 | FARGO, ND | |
B | 03/02/1998 - 07/29/2004 | NEW YORK, NY | |
B | 02/17/1994 - 03/02/1998 |
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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.