Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
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.
< Back to Results
Detailed Report
GAYLE NELSON BULLOCK
GAYLE NELSON BULLCOK, GAYLE N BULLOCK, GAYLE BULLOCK NELSON, GAYLE LESLIE NELSON
CRD#: 2560583
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 800 Newport Center Drive
Suite 500
Newport Beach, CA 92660
Registration History
19952000200520102015202020252 FIRMS2011 - Present (13 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1995 - 2011 (16 years)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1996 - 2011 (15 years)
License(s)

State Registrations

B
Arizona 9/2/2011
B
Montana 9/2/2011
B
California 9/2/2011
B
Nevada 9/2/2011
IA
California 9/6/2011
B
New Hampshire 9/2/2011
B
Colorado 5/27/2014
B
New Jersey 1/3/2020
B
District of Columbia 5/20/2022
B
New Mexico 9/2/2011
B
Florida 12/11/2015
B
New York 9/2/2011
B
Georgia 5/25/2016
B
North Carolina 6/22/2012
B
Hawaii 5/7/2024
B
Oregon 10/10/2011
B
Idaho 1/7/2016
B
South Carolina 1/17/2013
B
Illinois 9/2/2011
B
Tennessee 2/25/2015
B
Indiana 6/22/2015
B
Texas 9/2/2011
B
Maryland 9/2/2011
IA
Texas 9/9/2011
B
Massachusetts 8/7/2013
B
Utah 6/15/2016
B
Minnesota 2/26/2016
B
Washington 9/2/2011
B
Missouri 5/25/2016

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MORGAN STANLEY (CRD#:149777)
800 Newport Center Drive Suite 500, Newport Beach, CA 92660
Registered with this firm since 9/6/2011
B
MORGAN STANLEY (CRD#:149777)
800 Newport Center Drive Suite 500, Newport Beach, CA 92660
Registered with this firm since 9/2/2011
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 02/08/1996 - 09/06/2011 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEWPORT BEACH, CA
B
 01/07/1995 - 09/06/2011 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEWPORT BEACH, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.