Individual Firm
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ANA ELVIRA OLIVEIRA
ANA FALERO, ANA OLIVEIRA, ANA ELVIRA OLIVEIRADEFALERO
CRD#: 2443225
IA
B
MORGAN STANLEYCRD#: 149777 200 South Biscayne Boulevard
Suite 1100
Miami, FL 33131
Suite 1100
Miami, FL 33131
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8/31/2006
Customer Dispute
Denied
8/30/2000
Customer Dispute
Settled
State Registrations
B
California 10/25/2023
B
Pennsylvania 6/1/2009
B
Colorado 6/1/2009
B
Puerto Rico 6/5/2020
B
Florida 6/1/2009
B
Texas 6/1/2009
IA
Florida 6/1/2009
IA
Texas 4/15/2020
B
Massachusetts 6/1/2009
B
Virginia 6/1/2009
B
New York 12/3/2009
SRO Registrations
B
B
B
B
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Learn about permitted activities of registered principals
IA
Registered with this firm since 6/1/2009
B
Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/30/2000 - 06/01/2009 | MIAMI, FL | |
B | 06/30/2000 - 06/01/2009 | MIAMI, FL | |
B | 02/28/1994 - 07/17/2000 | PURCHASE, NY |
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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.