Individual Firm
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
JAMES NORMAN HOLZAPFEL
JAMES N HOLZAPFEL
CRD#: 249360
IA
B
MORGAN STANLEYCRD#: 149777 1185 Imperial Drive
Suite 102
Hagerstown, MD 21740
Suite 102
Hagerstown, MD 21740
0
Disclosures
52
Years of Experience
View By:
State Registrations
B
Alabama 6/12/2020
B
Nebraska 4/20/2021
B
Alaska 11/11/2022
B
Nevada 4/20/2021
B
Arizona 11/11/2022
B
New Hampshire 11/11/2022
B
Arkansas 4/20/2021
B
New Jersey 6/12/2020
B
California 6/12/2020
B
New Mexico 4/20/2021
B
Colorado 6/12/2020
B
New York 6/12/2020
B
Connecticut 6/12/2020
B
North Carolina 6/12/2020
B
Delaware 6/12/2020
B
North Dakota 4/20/2021
B
District of Columbia 3/23/2023
B
Ohio 6/12/2020
B
Florida 6/12/2020
B
Oklahoma 11/11/2022
B
Georgia 6/12/2020
B
Oregon 6/9/2022
B
Hawaii 11/11/2022
B
Pennsylvania 6/12/2020
B
Idaho 11/11/2022
IA
Pennsylvania 6/15/2020
B
Illinois 6/12/2020
B
Puerto Rico 4/20/2021
B
Indiana 4/20/2021
B
Rhode Island 4/20/2021
B
Iowa 11/11/2022
B
South Carolina 6/12/2020
B
Kansas 9/6/2022
B
South Dakota 4/20/2021
B
Kentucky 11/11/2022
B
Tennessee 11/11/2022
B
Louisiana 3/23/2023
B
Texas 6/12/2020
B
Maine 6/12/2020
IA
Texas 6/12/2020
B
Maryland 6/12/2020
B
Utah 4/20/2021
IA
Maryland 6/15/2020
B
Vermont 6/12/2020
B
Massachusetts 6/12/2020
B
Virgin Islands 11/11/2022
B
Michigan 6/12/2020
B
Virginia 6/12/2020
B
Minnesota 6/12/2020
B
Washington 6/12/2020
B
Mississippi 4/20/2021
B
West Virginia 6/12/2020
B
Missouri 11/11/2022
B
Wisconsin 4/20/2021
B
Montana 6/12/2020
B
Wyoming 11/11/2022
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 6/12/2020
B
Registered with this firm since 6/12/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/19/1990 - 06/17/2020 | HAGERSTOWN, MD | |
B | 10/01/1999 - 06/17/2020 | HAGERSTOWN, MD | |
B | 05/06/1988 - 10/01/1999 | CHARLOTTE, NC | |
B | 05/19/1978 - 05/12/1988 | ||
B | 10/02/1972 - 05/19/1978 |
10/02/1972 - 05/19/1978
For additional information about investment advisers or broker-dealers, please visit
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.