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Detailed Report
PHILIP MARK STEIN
PHIL STEIN, PHILIP STEIN
CRD#: 2630395
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 4890 West Kennedy Boulevard Suite 700
Tampa, FL 33609
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2000 - 2007 (6 years)2 FIRMS2007 - 2009 (1 year)2 FIRMS2009 - Present (15 years)BRAYMOND JAMES & ASSOCIATES, INC. (CRD# 705)1995 - 2000 (5 years)
Disclosure(s)
View By:
8/8/2008
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 6/1/2009
B
Montana 5/23/2018
B
California 6/1/2009
B
Nebraska 9/8/2023
B
Colorado 12/20/2018
B
New Jersey 6/1/2009
B
Connecticut 6/1/2009
B
New Mexico 9/22/2021
B
Delaware 9/23/2021
B
New York 6/1/2009
B
District of Columbia 1/25/2018
B
North Carolina 3/7/2019
B
Florida 6/1/2009
B
Ohio 10/26/2020
IA
Florida 6/1/2009
B
Oregon 4/13/2021
B
Georgia 6/1/2009
B
Pennsylvania 6/1/2009
B
Idaho 10/8/2020
B
South Carolina 7/14/2017
B
Illinois 6/1/2009
B
Tennessee 5/21/2020
B
Indiana 5/1/2023
B
Texas 6/1/2009
B
Kansas 1/18/2012
IA
Texas 6/1/2009
B
Maryland 6/1/2009
B
Utah 2/9/2021
B
Massachusetts 4/28/2011
B
Virginia 1/5/2021
B
Michigan 6/1/2009
B
Washington 11/25/2020
B
Mississippi 6/1/2009
B
Wisconsin 4/30/2014
B
Missouri 1/20/2021

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)
4890 West Kennedy Boulevard Suite 700, Tampa, FL 33609
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
4890 West Kennedy Boulevard Suite 700, Tampa, FL 33609
Registered with this firm since 6/1/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 08/03/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) TAMPA, FL
B
 08/03/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) TAMPA, FL
IA
 10/27/2000 - 08/14/2007 UBS FINANCIAL SERVICES INC. (CRD#:8174) TAMPA, FL
B
 10/27/2000 - 08/14/2007 UBS FINANCIAL SERVICES INC. (CRD#:8174) TAMPA, FL
B
 08/15/1995 - 11/10/2000 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) ST. PETERSBURG, FL
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.