Individual Firm
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KRISTINA DAWN GRUETT
KRISTINA D ROUSH, KRISTINA DAWN ROUSH, KRISTINA DAWN WELSHONS
CRD#: 2600368
IA
B
MORGAN STANLEYCRD#: 149777 2200 Rimland Drive
Suite 105
Bellingham, WA 98226
Suite 105
Bellingham, WA 98226
View By:
12/12/2022
Customer Dispute
Denied
State Registrations
B
Alaska 12/21/2020
B
New Mexico 6/1/2009
B
Arizona 6/1/2009
B
New York 10/27/2015
B
California 6/1/2009
B
North Carolina 6/13/2016
IA
California 1/19/2021
B
Oregon 6/10/2016
B
Colorado 6/10/2016
B
Pennsylvania 3/16/2021
B
Connecticut 5/17/2023
B
South Carolina 5/3/2021
B
Florida 6/10/2016
B
Tennessee 5/6/2024
B
Georgia 4/18/2024
B
Texas 5/19/2017
B
Hawaii 4/5/2013
IA
Texas 3/26/2020
B
Idaho 7/1/2015
B
Utah 8/21/2017
B
Iowa 2/19/2024
B
Vermont 6/1/2009
B
Louisiana 3/10/2017
B
Virginia 1/28/2021
B
Michigan 5/19/2017
B
Washington 6/1/2009
B
Montana 9/5/2013
IA
Washington 6/1/2009
B
Nevada 5/7/2012
SRO Registrations
B
B
B
B
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Registered with this firm since 6/1/2009
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Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/25/2001 - 06/01/2009 | BELLINGHAM, WA | |
B | 08/31/2001 - 06/01/2009 | BELLINGHAM, WA | |
B | 05/02/1995 - 10/26/2001 | 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.
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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.