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RYAN WILLIAM NE MUMMERT
RYAN WILLIAM MUMMERT, RYAN WILLIAM NEAL MUMMERT
CRD#: 2722449
IA
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MORGAN STANLEYCRD#: 149777 6565 Americas Parkway
Suite 400
Albuquerque, NM 87110
Suite 400
Albuquerque, NM 87110
View By:
4/21/2020
Customer Dispute
Denied
State Registrations
B
Alabama 7/28/2020
B
Montana 11/15/2016
B
Arizona 6/1/2009
B
Nebraska 6/20/2019
B
California 6/1/2009
B
Nevada 6/1/2009
B
Colorado 6/1/2009
B
New Jersey 7/7/2015
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Colorado 6/1/2009
B
New Mexico 6/1/2009
B
Connecticut 12/11/2015
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New Mexico 6/1/2009
B
Delaware 5/11/2023
B
New York 10/8/2015
B
District of Columbia 2/17/2016
B
North Carolina 1/23/2015
B
Florida 6/1/2009
B
Ohio 9/14/2016
B
Georgia 2/2/2015
B
Oklahoma 1/22/2015
B
Idaho 4/20/2015
B
Oregon 9/25/2015
B
Illinois 9/10/2010
B
Pennsylvania 7/28/2020
B
Indiana 3/22/2019
B
South Carolina 10/8/2018
B
Iowa 9/27/2017
B
South Dakota 9/11/2020
B
Kansas 6/1/2009
B
Tennessee 9/16/2020
B
Kentucky 6/3/2024
B
Texas 6/1/2009
B
Louisiana 7/16/2015
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Texas 6/1/2009
B
Maine 9/14/2020
B
Utah 6/1/2009
B
Maryland 6/1/2009
B
Vermont 9/14/2020
B
Massachusetts 10/31/2017
B
Virginia 6/1/2009
B
Michigan 7/29/2020
B
Washington 6/1/2009
B
Minnesota 12/11/2017
B
Wisconsin 12/23/2020
B
Mississippi 12/23/2015
B
Wyoming 4/10/2020
SRO Registrations
B
B
B
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View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
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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 | 04/02/2007 - 06/01/2009 | ALBUQUERQUE, NM | |
B | 04/02/2007 - 06/01/2009 | ALBUQUERQUE, NM | |
IA | 09/14/2006 - 04/02/2007 | ALBUQUERQUE, NM | |
B | 09/14/2006 - 04/02/2007 | ALBUQUERQUE, NM | |
IA | 08/07/2000 - 09/15/2006 | FARMINGTON, NM | |
B | 08/07/2000 - 09/15/2006 | FARMINGTON, NM | |
B | 09/12/1996 - 08/09/2000 | NEW YORK, 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.
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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.
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