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Detailed Report
KARI S BRAGGS
KARI S BURG, KARI SUE BURG, KARI S BURG-BRAGGS, KARI SUE LAABS
CRD#: 2686803
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 211 Fulton Street
Suite 500A
PEORIA, IL 61602
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2011 - 2011 (<1 year)2 FIRMS2011 - 2014 (2 years)2 FIRMS2014 - Present (10 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1996 - 2010 (14 years)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2004 - 2010 (5 years)
License(s)

State Registrations

B
Alabama 4/29/2022
B
Nebraska 2/15/2019
B
Alaska 4/29/2022
B
Nevada 2/15/2019
B
Arizona 5/11/2022
B
New Hampshire 5/25/2022
B
Arkansas 4/23/2018
B
New Jersey 5/25/2022
B
California 5/11/2022
B
New Mexico 2/15/2019
B
Colorado 5/5/2016
B
New York 11/26/2021
B
Connecticut 5/11/2022
B
North Carolina 12/10/2018
B
Delaware 5/11/2022
B
North Dakota 2/15/2019
B
District of Columbia 5/11/2022
B
Ohio 5/27/2022
B
Florida 11/3/2016
B
Oklahoma 5/25/2022
B
Georgia 2/15/2019
B
Oregon 5/25/2022
B
Hawaii 5/25/2022
B
Pennsylvania 5/25/2022
B
Idaho 5/25/2022
B
Puerto Rico 2/15/2019
B
Illinois 12/10/2014
B
Rhode Island 2/15/2019
IA
Illinois 12/10/2014
B
South Carolina 12/7/2018
B
Indiana 3/16/2015
B
South Dakota 2/15/2019
B
Iowa 5/25/2022
B
Tennessee 5/25/2022
B
Kansas 5/25/2022
B
Texas 12/7/2018
B
Kentucky 5/25/2022
IA
Texas 4/2/2020
B
Louisiana 5/25/2022
B
Utah 2/15/2019
B
Maine 5/25/2022
B
Vermont 5/25/2022
B
Maryland 5/25/2022
B
Virgin Islands 5/25/2022
B
Massachusetts 3/11/2019
B
Virginia 5/25/2022
B
Michigan 5/25/2022
B
Washington 2/15/2019
B
Minnesota 1/7/2015
B
West Virginia 5/25/2022
B
Mississippi 2/15/2019
B
Wisconsin 8/17/2015
B
Missouri 4/29/2022
B
Wyoming 5/25/2022
B
Montana 6/15/2021

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)
211 Fulton Street Suite 500A, PEORIA, IL 61602
Registered with this firm since 12/10/2014
B
MORGAN STANLEY (CRD#:149777)
211 Fulton Street Suite 500A, PEORIA, IL 61602
Registered with this firm since 12/10/2014
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 10/20/2011 - 09/10/2014 DAVID A. NOYES & COMPANY (CRD#:205) CHICAGO, IL
B
 10/17/2011 - 09/10/2014 DAVID A. NOYES & COMPANY (CRD#:205) INDIANAPOLIS, IN
IA
 08/01/2011 - 10/25/2011 UBS FINANCIAL SERVICES INC. (CRD#:8174) NAPERVILLE, IL
B
 08/08/2011 - 10/25/2011 UBS FINANCIAL SERVICES INC. (CRD#:8174) NAPERVILLE, IL
IA
 03/01/2004 - 01/27/2010 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) OAKBROOK, IL
B
 01/01/1996 - 01/27/2010 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) OAKBROOK, IL
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.