Individual Firm
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MARK LOOMIS MADDEN
CRD#: 2746496
IA
B
MORGAN STANLEYCRD#: 149777 100 Middle Street
3Rd Floor
Portland, ME 04101
3Rd Floor
Portland, ME 04101
0
Disclosures
27
Years of Experience
View By:
State Registrations
B
California 11/21/2022
B
Maryland 11/21/2022
B
Connecticut 11/21/2022
B
Massachusetts 11/21/2022
B
Delaware 9/26/2024
B
Nevada 9/13/2023
B
Florida 11/21/2022
B
New Hampshire 11/21/2022
B
Hawaii 11/21/2022
B
New York 11/21/2022
B
Maine 11/21/2022
B
Rhode Island 11/21/2022
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Maine 11/21/2022
B
Vermont 11/21/2022
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 11/21/2022
B
Registered with this firm since 11/21/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/10/2003 - 12/06/2022 | PORTLAND, ME | |
B | 12/09/2003 - 12/06/2022 | PORTLAND, ME | |
IA | 07/22/2002 - 08/05/2003 | SAN FRANCISCO, CA | |
B | 07/22/2002 - 08/05/2003 | NEW YORK, NY | |
IA | 10/18/1999 - 08/20/2002 | SAN FRANCISCO, CA | |
B | 09/01/1998 - 08/20/2002 | SAN FRANCISCO, CA | |
B | 10/01/1997 - 09/01/1998 | SAN FRANCISCO, CA | |
B | 08/06/1997 - 10/01/1997 | SAN FRANCISCO, CA | |
B | 12/12/1996 - 07/14/1997 | SAN FRANCISCO, CA |
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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.
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.