Individual Firm
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DAVID BANJAMIN PRICE
CRD#: 2521851
IA
B
MORGAN STANLEYCRD#: 149777 3280 Peachtree Road Northeast
Suite 1900
Atlanta, GA 30305
Suite 1900
Atlanta, GA 30305
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5/12/2011
Customer Dispute
Denied
8/24/1999
Customer Dispute
Settled
State Registrations
B
Alabama 6/1/2009
B
Missouri 6/2/2016
B
Arizona 9/17/2009
B
New Hampshire 1/8/2025
B
California 6/1/2009
B
New Jersey 6/1/2009
B
Colorado 6/9/2020
B
New York 6/1/2009
B
Connecticut 1/8/2025
B
North Carolina 6/1/2009
B
District of Columbia 11/9/2012
B
Ohio 9/21/2020
B
Florida 6/1/2009
B
Pennsylvania 6/1/2009
B
Georgia 6/1/2009
B
Puerto Rico 5/26/2015
IA
Georgia 6/1/2009
B
South Carolina 6/1/2009
B
Illinois 12/16/2011
B
Tennessee 6/15/2011
B
Indiana 11/2/2012
B
Texas 11/1/2012
B
Kentucky 7/27/2023
IA
Texas 2/12/2014
B
Louisiana 2/3/2014
B
Virginia 6/1/2009
B
Maryland 6/1/2009
B
Washington 5/7/2024
B
Massachusetts 12/10/2013
B
West Virginia 1/8/2025
B
Michigan 1/8/2025
B
Wisconsin 4/18/2017
SRO Registrations
B
B
B
B
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Learn about permitted activities of registered representatives
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 | 05/13/2004 - 06/01/2009 | ATLANTA, GA | |
B | 07/18/2003 - 06/01/2009 | ATLANTA, GA | |
B | 09/19/1994 - 07/30/2003 | PURCHASE, NY | |
B | 03/26/2001 - 12/16/2002 | 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.