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BERNARD PATRICK SCHOFIELD
CRD#: 2532306
IA
B
MORGAN STANLEYCRD#: 149777 8548 Rozita Lee Avenue
Suite 400
Las Vegas, NV 89113
Suite 400
Las Vegas, NV 89113
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10/12/2009
Customer Dispute
Settled
8/16/2007
Customer Dispute
Settled
1/29/2003
Customer Dispute
Settled
State Registrations
B
Arizona 6/1/2009
B
New Hampshire 9/19/2024
B
California 6/1/2009
B
New Jersey 1/19/2021
B
Colorado 12/22/2011
B
New Mexico 8/8/2023
B
District of Columbia 8/2/2024
B
New York 6/1/2009
B
Florida 6/1/2009
B
North Carolina 6/7/2023
B
Georgia 2/6/2025
B
Ohio 8/27/2012
B
Hawaii 1/12/2023
B
Oklahoma 8/9/2023
B
Idaho 8/8/2023
B
Oregon 6/1/2009
B
Illinois 1/18/2023
B
Pennsylvania 6/1/2009
B
Iowa 9/10/2021
B
South Carolina 11/28/2022
B
Kansas 6/1/2009
B
Texas 6/1/2009
B
Maryland 9/24/2020
IA
Texas 2/24/2020
B
Massachusetts 6/1/2009
B
Utah 5/25/2022
B
Missouri 2/9/2022
B
Virginia 8/7/2023
B
Montana 10/7/2014
B
Washington 12/15/2020
B
Nevada 6/1/2009
B
Wisconsin 8/8/2023
IA
Nevada 6/1/2009
B
Wyoming 8/8/2023
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 | 04/10/2003 - 06/01/2009 | LAS VEGAS, NV | |
B | 09/08/1994 - 06/01/2009 | LAS VEGAS, NV |
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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.