Individual Firm
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TREVOR MICHAEL DARE
TREVOR DARE
CRD#: 2804924
IA
B
MORGAN STANLEYCRD#: 149777 Southlake, TX
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3/13/2003
Customer Dispute
Denied
3/2/2001
Customer Dispute
Denied
State Registrations
B
Alabama 6/15/2023
B
New Jersey 7/27/2012
B
Arizona 7/27/2012
B
New York 7/27/2012
B
Arkansas 4/21/2025
B
North Carolina 8/14/2012
B
California 7/27/2012
B
Oregon 7/27/2012
IA
California 7/27/2012
B
Pennsylvania 7/27/2012
B
Colorado 7/27/2012
B
Rhode Island 12/1/2017
B
Connecticut 9/6/2012
B
South Carolina 2/9/2018
B
District of Columbia 8/14/2012
B
South Dakota 12/11/2013
B
Florida 7/27/2012
B
Texas 7/27/2012
B
Hawaii 7/27/2012
IA
Texas 3/3/2020
B
Idaho 5/20/2013
B
Utah 7/27/2012
B
Maryland 8/28/2012
B
Vermont 9/10/2012
B
Massachusetts 7/27/2012
B
Virginia 7/27/2012
B
Michigan 9/8/2017
B
Washington 7/27/2012
B
Minnesota 4/29/2015
B
Wyoming 7/27/2012
B
Nevada 7/27/2012
SRO Registrations
B
B
B
B
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IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/28/2003 - 08/07/2012 | PALO ALTO, CA | |
B | 02/28/2003 - 08/07/2012 | PALO ALTO, CA | |
IA | 07/08/1997 - 03/13/2003 | PALO ALTO, CA | |
B | 10/03/1996 - 03/13/2003 | 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.
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.