Individual Firm
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SUSAN E GNALL
SUSAN GNALL
CRD#: 2480654
IA
B
MORGAN STANLEYCRD#: 149777 Biddeford, ME
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3/5/2007
Customer Dispute
Withdrawn
State Registrations
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Alabama 5/28/2024
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New Hampshire 7/2/2024
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Arizona 7/2/2024
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New Jersey 6/1/2009
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California 6/1/2009
IA
New Jersey 6/1/2009
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Colorado 6/1/2009
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New York 6/1/2009
B
Connecticut 6/1/2009
B
North Carolina 6/1/2009
B
Delaware 6/1/2009
B
North Dakota 7/2/2024
B
District of Columbia 5/28/2024
B
Ohio 6/1/2009
B
Florida 6/1/2009
B
Oklahoma 7/11/2024
B
Georgia 6/1/2009
B
Oregon 7/9/2012
B
Illinois 6/1/2009
B
Pennsylvania 6/1/2009
B
Kansas 2/17/2021
B
Rhode Island 9/14/2017
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Louisiana 5/28/2024
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South Carolina 5/28/2024
B
Maine 6/1/2009
B
South Dakota 7/2/2024
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Maine 7/7/2022
B
Tennessee 1/9/2019
B
Maryland 6/1/2009
B
Texas 3/21/2014
B
Massachusetts 6/1/2009
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Texas 1/9/2019
B
Michigan 2/22/2013
B
Utah 6/1/2009
B
Minnesota 1/4/2024
B
Vermont 9/14/2017
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Mississippi 9/14/2017
B
Virginia 6/1/2009
B
Missouri 1/17/2013
B
Washington 5/28/2024
B
Nevada 11/5/2024
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Wyoming 12/23/2024
SRO Registrations
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IA
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/16/2009 - 06/01/2009 | MORRISTOWN, NJ | |
B | 01/16/2009 - 06/01/2009 | MORRISTOWN, NJ | |
IA | 06/03/1999 - 01/20/2009 | WARREN, NJ | |
B | 06/09/1994 - 01/20/2009 | WARREN, NJ |
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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.