Individual Firm
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LISA MARIE MIRABELLA
LISA MARIE EATON
CRD#: 2782930
IA
B
MORGAN STANLEYCRD#: 149777 6805 Carnegie Boulevard
Suite 400
Charlotte, NC 28211
Suite 400
Charlotte, NC 28211
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10/10/2011
Judgment / Lien
5/5/2008
Customer Dispute
Denied
State Registrations
B
Alabama 10/26/2012
B
Nebraska 6/5/2024
B
Alaska 6/26/2018
B
Nevada 7/3/2018
B
Arizona 1/7/2016
B
New Hampshire 3/8/2017
B
Arkansas 6/28/2018
B
New Jersey 3/21/2013
B
California 3/21/2013
B
New Mexico 6/17/2014
B
Colorado 3/21/2013
B
New York 10/26/2012
B
Connecticut 3/21/2013
B
North Carolina 3/25/2013
B
Delaware 7/5/2018
IA
North Carolina 6/26/2019
B
District of Columbia 10/21/2015
B
North Dakota 7/23/2019
B
Florida 10/26/2012
B
Ohio 3/22/2013
IA
Florida 11/6/2012
B
Oklahoma 6/26/2018
B
Georgia 3/21/2013
B
Oregon 6/25/2018
B
Hawaii 6/25/2018
B
Pennsylvania 3/21/2013
B
Idaho 3/21/2013
B
Puerto Rico 6/17/2024
B
Illinois 3/21/2013
B
Rhode Island 7/2/2018
B
Indiana 6/26/2018
B
South Carolina 10/21/2015
B
Iowa 6/26/2018
B
South Dakota 6/26/2018
B
Kansas 7/23/2019
B
Tennessee 2/6/2018
B
Kentucky 3/21/2013
B
Texas 3/21/2013
B
Louisiana 5/11/2021
IA
Texas 8/22/2015
B
Maine 10/21/2015
B
Utah 4/27/2017
B
Maryland 10/22/2015
B
Vermont 6/27/2018
B
Massachusetts 3/21/2013
B
Virgin Islands 7/7/2023
B
Michigan 11/16/2015
B
Virginia 10/21/2015
B
Minnesota 6/27/2018
B
Washington 10/21/2015
B
Mississippi 10/26/2015
B
West Virginia 7/9/2018
B
Missouri 6/26/2018
B
Wisconsin 10/22/2015
B
Montana 6/26/2018
B
Wyoming 6/27/2018
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 11/6/2012
B
Registered with this firm since 10/26/2012
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/01/2012 - 10/29/2012 | WEST PALM BEACH, FL | |
B | 10/01/2012 - 10/29/2012 | WEST PALM BEACH, FL | |
IA | 10/16/2009 - 10/01/2012 | WEST PALM BEACH, FL | |
B | 09/25/2009 - 10/01/2012 | WEST PALM BEACH, FL | |
IA | 08/15/2007 - 12/22/2008 | BOCA RATON, FL | |
B | 04/19/2006 - 12/22/2008 | BOCA RATON, FL |
BOCA RATON, FL
08/15/2007 - 12/22/2008
BOCA RATON, FL
04/19/2006 - 12/22/2008
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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.