Individual Firm
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ROBERT JAMES MASTROSIMONE
ROBERT JAMES MASTRASIMONE, ROB MASTROSIMONE
CRD#: 2767741
IA
B
MORGAN STANLEYCRD#: 149777 888 Veterans Memorial Highway
Suite 300
Hauppauge, NY 11788
Suite 300
Hauppauge, NY 11788
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11/12/2013
Customer Dispute
Settled
9/13/2010
Customer Dispute
Settled
6/22/2009
Customer Dispute
Settled
8/6/2001
Customer Dispute
Closed-No Action
12/29/2000
Customer Dispute
Settled
State Registrations
B
Arizona 6/1/2009
B
New Mexico 7/22/2021
B
California 6/1/2009
B
New York 6/1/2009
B
Colorado 7/30/2020
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New York 9/24/2021
B
Connecticut 6/1/2009
B
North Carolina 6/1/2009
B
Florida 6/1/2009
B
Pennsylvania 7/15/2015
B
Georgia 6/1/2009
B
South Carolina 6/1/2009
B
Illinois 10/26/2023
B
Tennessee 11/6/2023
B
Iowa 6/7/2017
B
Texas 6/1/2009
B
Maryland 5/16/2018
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Texas 5/18/2020
B
Massachusetts 6/1/2009
B
Vermont 6/1/2009
B
Nevada 3/6/2023
B
Virginia 6/1/2009
B
New Jersey 6/1/2009
B
Wyoming 12/17/2024
SRO Registrations
B
B
B
B
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Registered with this firm since 5/18/2020
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Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 01/05/2009 - 06/01/2009 | MELVILLE, NY | |
B | 10/24/1997 - 01/09/2009 | MELVILLE, NY | |
B | 08/02/1996 - 07/15/1997 | SPRINGFIELD, MA | |
B | 08/02/1996 - 07/15/1997 | 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.
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.