Individual Firm
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BRET ALLEN ROBERTS
CRD#: 2820614
IA
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MORGAN STANLEYCRD#: 149777 3033 East 1St Avenue
Suite 820
Denver, CO 80206
Suite 820
Denver, CO 80206
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2/18/2004
Customer Dispute
Settled
8/18/1993
Criminal
Final Disposition
State Registrations
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Alaska 4/19/2024
B
Minnesota 8/22/2023
B
Arizona 6/1/2009
B
Missouri 6/1/2009
B
Arkansas 6/1/2009
B
Montana 6/1/2009
B
California 6/1/2009
B
Nebraska 9/29/2017
B
Colorado 6/1/2009
B
Nevada 6/13/2024
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Colorado 6/1/2009
B
New Mexico 6/1/2009
B
Delaware 3/31/2021
B
New York 5/30/2018
B
Florida 6/1/2009
B
North Dakota 2/15/2023
B
Georgia 6/1/2009
B
Ohio 3/7/2018
B
Hawaii 12/21/2022
B
Oregon 2/27/2013
B
Idaho 6/11/2019
B
Rhode Island 5/12/2017
B
Illinois 6/1/2009
B
Texas 10/11/2011
B
Indiana 5/24/2011
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Texas 2/20/2020
B
Kansas 5/17/2012
B
Utah 12/15/2023
B
Louisiana 6/1/2009
B
Virginia 2/13/2023
B
Michigan 6/1/2009
B
Wisconsin 3/6/2018
SRO Registrations
B
B
B
B
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Registered with this firm since 6/1/2009
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Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/28/2002 - 06/01/2009 | DENVER, CO | |
B | 02/01/2001 - 06/01/2009 | DENVER, CO | |
B | 01/21/1997 - 03/01/2001 | ST. LOUIS, MO |
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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.