Individual Firm
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ADAM PATRICK LEAPLEY
ADAM P LEAPLEY
CRD#: 2594211
IA
B
MORGAN STANLEYCRD#: 149777 500 Post Road East
3Rd Floor
Westport, CT 06880
3Rd Floor
Westport, CT 06880
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7/16/2008
Customer Dispute
Denied
3/13/2005
Customer Dispute
Denied
State Registrations
B
Arizona 11/27/2019
B
New Jersey 2/11/2011
B
California 2/11/2011
B
New Mexico 2/8/2011
B
Colorado 2/16/2011
B
New York 2/7/2011
B
Connecticut 1/14/2011
B
North Carolina 1/25/2011
IA
Connecticut 1/14/2011
B
Oregon 10/10/2017
B
District of Columbia 2/11/2011
B
Pennsylvania 1/24/2011
B
Florida 2/11/2011
B
South Carolina 2/11/2011
B
Georgia 4/27/2017
B
Texas 12/18/2015
B
Illinois 2/16/2011
IA
Texas 3/26/2020
B
Indiana 11/16/2020
B
Utah 3/3/2022
B
Louisiana 2/1/2024
B
Vermont 11/23/2021
B
Maine 8/27/2020
B
Virginia 2/8/2011
B
Massachusetts 2/11/2011
B
Washington 10/23/2020
B
New Hampshire 2/11/2011
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 1/14/2011
B
Registered with this firm since 1/14/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/13/2001 - 01/19/2011 | FAIRFIELD, CT | |
B | 03/26/2001 - 01/19/2011 | FAIRFIELD, CT | |
B | 05/10/1995 - 04/05/2001 | BOSTON, MA | |
B | 05/10/1995 - 05/01/1997 | BOSTON, MA |
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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.