Individual Firm
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SCOTT ALAN ALTEMOSE
CRD#: 2513396
IA
B
MORGAN STANLEYCRD#: 149777 233 South Wacker Drive
Suite 8600
Chicago, IL 60606
Suite 8600
Chicago, IL 60606
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6/11/2012
Customer Dispute
Closed-No Action
State Registrations
B
Arizona 9/20/2013
B
Minnesota 9/20/2013
B
California 9/20/2013
B
Missouri 9/20/2013
B
Colorado 9/20/2013
B
Nebraska 1/26/2023
B
Delaware 10/11/2023
B
New Jersey 9/20/2013
B
District of Columbia 8/2/2023
B
New York 9/20/2013
B
Florida 9/20/2013
B
Ohio 9/20/2013
B
Georgia 2/22/2024
B
Oregon 11/21/2023
B
Illinois 9/20/2013
B
Pennsylvania 9/20/2013
IA
Illinois 10/31/2013
B
Texas 7/6/2020
B
Indiana 10/2/2013
IA
Texas 7/7/2020
B
Iowa 5/29/2015
B
Virginia 8/7/2023
B
Maryland 2/22/2024
B
Washington 9/15/2023
B
Massachusetts 11/21/2023
B
Wisconsin 9/20/2013
B
Michigan 9/20/2013
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 10/31/2013
B
Registered with this firm since 9/20/2013
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/06/2005 - 10/17/2013 | CHICAGO, IL | |
B | 04/01/2005 - 10/17/2013 | CHICAGO, IL | |
B | 03/03/2000 - 04/15/2005 | WEEHAWKEN, NJ | |
B | 01/15/1996 - 03/15/2000 | BALTIMORE, MD | |
B | 02/22/1995 - 01/16/1996 | NEW YORK, NY | |
B | 08/01/1994 - 01/12/1995 | 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.