Individual Firm
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MICHAEL EDWARD ROTH
CRD#: 2457634
IA
B
MORGAN STANLEYCRD#: 149777 3102 West End Avenue
Suite 200
Nashville, TN 37203
Suite 200
Nashville, TN 37203
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4/6/2006
Customer Dispute
Denied
4/2/2000
Customer Dispute
Denied
State Registrations
B
Alabama 6/1/2009
B
New York 6/4/2024
B
Arizona 6/1/2009
B
North Carolina 6/1/2009
B
California 6/1/2009
B
Ohio 6/1/2009
B
Colorado 5/17/2024
B
Oklahoma 6/1/2009
B
Florida 6/1/2009
B
Oregon 9/12/2023
B
Georgia 6/1/2009
B
Pennsylvania 6/1/2009
B
Illinois 1/4/2022
B
South Carolina 6/1/2009
IA
Illinois 9/2/2022
B
South Dakota 8/6/2021
B
Indiana 6/1/2009
B
Tennessee 6/1/2009
B
Kansas 7/14/2009
IA
Tennessee 6/1/2009
B
Kentucky 6/1/2009
B
Texas 6/1/2009
B
Louisiana 6/1/2009
IA
Texas 6/1/2009
B
Maine 6/1/2009
B
Utah 2/6/2018
B
Michigan 6/1/2009
B
Virginia 6/1/2009
B
Mississippi 1/2/2020
B
West Virginia 10/30/2019
B
New Jersey 6/1/2009
SRO Registrations
B
B
B
B
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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 | 04/02/2007 - 06/01/2009 | NASHVILLE, TN | |
B | 04/02/2007 - 06/01/2009 | NASHVILLE, TN | |
IA | 11/14/2002 - 04/02/2007 | NASHVILLE, TN | |
B | 07/24/1995 - 04/02/2007 | NASHVILLE, TN | |
B | 09/30/1994 - 07/05/1995 | NEW YORK, 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.