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Detailed Report
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2012 - Present (12 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2005 - 2012 (6 years)BMORGAN STANLEY DW INC. (CRD# 7556)2000 - 2005 (5 years)BSALOMON SMITH BARNEY INC. (CRD# 7059)1996 - 2000 (3 years)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2008 - 2012 (3 years)IAMORGAN STANLEY (CRD# 7556)2002 - 2005 (3 years)
Disclosure(s)
View By:
10/6/2022
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 3/6/2017
B
Montana 3/31/2017
B
Alaska 12/8/2020
B
Nebraska 4/1/2019
B
Arizona 5/8/2012
B
Nevada 7/28/2021
B
Arkansas 10/11/2019
B
New Hampshire 12/8/2020
B
California 5/8/2012
B
New Jersey 5/8/2012
B
Colorado 5/8/2012
IA
New Jersey 5/8/2012
B
Connecticut 5/8/2012
B
New York 5/8/2012
B
Delaware 4/30/2015
B
North Carolina 2/11/2016
B
District of Columbia 2/9/2018
B
Ohio 5/8/2012
B
Florida 5/8/2012
B
Oklahoma 8/16/2022
IA
Florida 8/27/2021
B
Oregon 5/3/2019
B
Georgia 5/8/2012
B
Pennsylvania 5/8/2012
B
Hawaii 5/2/2018
B
Puerto Rico 7/31/2014
B
Idaho 10/9/2019
B
Rhode Island 5/8/2012
B
Illinois 5/8/2012
B
South Carolina 5/8/2012
B
Iowa 11/3/2021
B
South Dakota 9/6/2023
B
Kentucky 12/17/2019
B
Tennessee 5/8/2012
B
Louisiana 4/4/2022
B
Texas 2/27/2017
B
Maine 9/22/2022
IA
Texas 4/2/2020
B
Maryland 5/8/2012
B
Utah 8/10/2021
B
Massachusetts 5/8/2012
B
Vermont 10/5/2021
B
Michigan 12/16/2020
B
Virginia 5/8/2012
B
Minnesota 11/29/2022
B
Washington 5/8/2012
B
Mississippi 12/11/2017
B
West Virginia 12/11/2020
B
Missouri 9/17/2019
B
Wisconsin 6/17/2015

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)
West Palm Beach, FL
3801 PGA Boulevard Suite 700, Palm Beach Gardens, FL 33410
Registered with this firm since 5/8/2012
B
MORGAN STANLEY (CRD#:149777)
West Palm Beach, FL
3801 PGA Boulevard Suite 700, Palm Beach Gardens, FL 33410
Registered with this firm since 5/8/2012
Previous Registration(s)
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IA
 07/03/2008 - 05/16/2012 UBS FINANCIAL SERVICES INC. (CRD#:8174) FLORHAM PARK, NJ
B
 06/10/2005 - 05/16/2012 UBS FINANCIAL SERVICES INC. (CRD#:8174) FLORHAM PARK, NJ
IA
 05/23/2002 - 06/14/2005 MORGAN STANLEY (CRD#:7556) SHORT HILLS, NJ
B
 02/28/2000 - 06/14/2005 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
B
 10/01/1996 - 03/08/2000 SALOMON SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
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.