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Detailed Report
ALICIA DIANE CERULLA
ALICIA DIANE SAMS
CRD#: 2785005
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 Grand Blanc, MI
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2015 - 2016 (1 year)2 FIRMS2022 - Present (2 years)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)2021 - 2022 (<1 year)BTRANSAMERICA INVESTORS SECURIT... (CRD# 32205)2020 - 2021 (<1 year)BTRANSAMERICA CAPITAL, INC. (CRD# 8217)2018 - 2019 (1 year)BTRANSAMERICA INVESTORS SECURIT... (CRD# 32205)2018 - 2018 (<1 year)BDIVERSIFIED INVESTORS SECURITI... (CRD# 32205)2004 - 2007 (3 years)BSUNAMERICA SECURITIES, INC. (CRD# 20068)2001 - 2003 (2 years)BPRUCO SECURITIES CORPORATION (CRD# 5685)2000 - 2001 (<1 year)BLEONARD & COMPANY (CRD# 36527)2000 - 2000 (<1 year)BCUNA BROKERAGE SERVICES, INC. (CRD# 13941)1998 - 1999 (<1 year)BAETNA INVESTMENT SERVICES, INC. (CRD# 34815)1996 - 1998 (2 years)IATRANSAMERICA RETIREMENT ADVISO... (CRD# 107319)2018 - 2021 (2 years)
License(s)

State Registrations

B
Michigan 7/19/2022
IA
New York 7/19/2022
IA
Michigan 7/19/2022
B
Texas 7/19/2022
B
New York 7/19/2022
IA
Texas 7/21/2022

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MORGAN STANLEY (CRD#:149777)
Grand Blanc, MI
Haslet, TX
Registered with this firm since 7/19/2022
B
MORGAN STANLEY (CRD#:149777)
Grand Blanc, MI
Haslet, TX
Registered with this firm since 7/19/2022
Previous Registration(s)
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B
 07/01/2021 - 01/07/2022 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) SMITHFIELD, RI
IA
 08/03/2018 - 06/03/2021 TRANSAMERICA RETIREMENT ADVISORS, LLC (CRD#:107319) Grand Blanc, MI
B
 08/12/2020 - 06/03/2021 TRANSAMERICA INVESTORS SECURITIES CORPORATION (CRD#:32205) HARRISON, NY
B
 11/13/2018 - 12/31/2019 TRANSAMERICA CAPITAL, INC. (CRD#:8217) DENVER, CO
B
 08/09/2018 - 11/12/2018 TRANSAMERICA INVESTORS SECURITIES CORPORATION (CRD#:32205) HARRISON, NY
IA
 08/28/2015 - 08/19/2016 TRANSAMERICA RETIREMENT ADVISORS, LLC (CRD#:107319) HOLLY, MI
B
 03/23/2015 - 08/19/2016 TRANSAMERICA INVESTORS SECURITIES CORPORATION (CRD#:32205) HARRISON, NY
B
 01/05/2004 - 06/04/2007 DIVERSIFIED INVESTORS SECURITIES CORP. (CRD#:32205) GRAND BLANC, MI
B
 08/24/2001 - 10/02/2003 SUNAMERICA SECURITIES, INC. (CRD#:20068) PHOENIX, AZ
B
 11/17/2000 - 08/30/2001 PRUCO SECURITIES CORPORATION (CRD#:5685) NEWARK, NJ
B
 02/10/2000 - 11/07/2000 LEONARD & COMPANY (CRD#:36527) TROY, MI
B
 10/26/1998 - 05/21/1999 CUNA BROKERAGE SERVICES, INC. (CRD#:13941) WAVERLY, IA
B
 09/03/1996 - 10/06/1998 AETNA INVESTMENT SERVICES, INC. (CRD#:34815) WINDSOR, CT
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.