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Albert K Morman
ALBERT KELLY MORMAN
CRD#: 2768302
IA
B
MORGAN STANLEYCRD#: 149777 400 East Rivulon Boulevard
GILBERT, AZ 85297
GILBERT, AZ 85297
View By:
4/7/2003
Customer Dispute
Settled
State Registrations
B
Alabama 12/22/2023
B
Nebraska 12/21/2023
B
Alaska 1/3/2024
B
Nevada 12/26/2023
B
Arizona 11/20/2023
B
New Hampshire 12/21/2023
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Arizona 12/15/2023
B
New Jersey 12/21/2023
B
Arkansas 1/2/2024
B
New Mexico 12/21/2023
B
California 12/21/2023
B
New York 12/21/2023
B
Colorado 1/3/2024
B
North Carolina 1/4/2024
B
Connecticut 12/21/2023
B
North Dakota 12/26/2023
B
Delaware 12/22/2023
B
Ohio 12/21/2023
B
District of Columbia 12/21/2023
B
Oklahoma 12/21/2023
B
Florida 12/21/2023
B
Oregon 12/26/2023
B
Georgia 12/21/2023
B
Pennsylvania 12/21/2023
B
Hawaii 1/17/2024
B
Puerto Rico 1/9/2024
B
Idaho 12/21/2023
B
Rhode Island 12/21/2023
B
Illinois 12/21/2023
B
South Carolina 12/21/2023
B
Indiana 12/21/2023
B
South Dakota 12/21/2023
B
Iowa 1/5/2024
B
Tennessee 12/21/2023
B
Kansas 12/21/2023
B
Texas 12/21/2023
B
Kentucky 12/22/2023
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Texas 1/10/2024
B
Louisiana 12/22/2023
B
Utah 12/21/2023
B
Maine 12/21/2023
B
Vermont 12/21/2023
B
Maryland 1/4/2024
B
Virgin Islands 1/4/2024
B
Massachusetts 1/25/2024
B
Virginia 12/21/2023
B
Michigan 1/2/2024
B
Washington 12/20/2023
B
Minnesota 12/26/2023
B
West Virginia 1/8/2024
B
Mississippi 12/22/2023
B
Wisconsin 12/21/2023
B
Missouri 12/26/2023
B
Wyoming 12/22/2023
B
Montana 12/21/2023
SRO Registrations
B
B
B
B
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Registered with this firm since 12/15/2023
B
Registered with this firm since 10/6/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 11/15/1999 - 02/09/2001 | NEW YORK, NY | |
B | 09/23/1998 - 10/18/1999 | PHOENIX, AZ | |
B | 08/14/1996 - 09/25/1998 | NEW YORK, NY |
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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.
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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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