Individual Firm
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JOSEPH STANLEY BODDIFORD III
CRD#: 2666237
IA
B
MORGAN STANLEYCRD#: 149777 2330 West Joppa Road
Suite 255
Lutherville, MD 21093
Suite 255
Lutherville, MD 21093
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8/17/2009
Customer Dispute
Denied
State Registrations
B
Arizona 10/16/2019
B
New Jersey 6/1/2009
B
California 6/1/2009
B
New York 6/1/2009
B
Colorado 9/10/2019
B
North Carolina 6/1/2009
B
Connecticut 6/1/2009
B
Ohio 1/12/2020
B
Delaware 6/1/2009
B
Oregon 3/1/2016
B
District of Columbia 6/1/2009
B
Pennsylvania 6/1/2009
B
Florida 6/1/2009
B
South Carolina 6/1/2009
B
Georgia 6/1/2009
B
Tennessee 10/10/2018
B
Kansas 6/1/2009
B
Texas 8/31/2016
B
Louisiana 4/28/2020
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Texas 4/8/2020
B
Maryland 6/1/2009
B
Utah 9/2/2016
IA
Maryland 6/1/2009
B
Virginia 6/1/2009
B
Massachusetts 1/11/2023
B
Washington 6/1/2009
B
Minnesota 6/10/2020
B
West Virginia 4/29/2024
B
New Hampshire 1/7/2020
B
Wyoming 1/4/2010
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 | 02/21/2006 - 06/01/2009 | TOWSON, MD | |
B | 02/21/2006 - 06/01/2009 | TOWSON, MD | |
IA | 07/01/1999 - 02/21/2006 | HUNT VALLEY, MD | |
B | 06/04/1999 - 02/21/2006 | HUNT VALLEY, MD | |
B | 10/23/1995 - 06/16/1999 | PURCHASE, NY |
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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.