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Detailed Report
JAMES DOUGLAS KRANTZ
JAMES D KRANTZ, JIM KRANTZ
CRD#: 2827746
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 2400 Lakeview Parkway Suite 300
Alpharetta, GA 30009
Registration History
199019952000200520102015202020252 FIRMS2017 - Present (7 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1997 - 2017 (20 years)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2004 - 2017 (12 years)
Disclosure(s)
View By:
2/21/1989
Criminal
Final Disposition
License(s)

State Registrations

B
Alabama 8/4/2017
B
Michigan 8/4/2017
B
Alaska 3/13/2024
B
Mississippi 8/23/2017
B
Arizona 1/27/2020
B
New Jersey 8/4/2017
B
California 8/4/2017
B
New York 2/28/2019
B
Colorado 3/10/2020
B
North Carolina 8/4/2017
B
Connecticut 8/4/2017
B
Ohio 8/4/2017
B
Florida 8/4/2017
B
Pennsylvania 8/7/2017
B
Georgia 8/4/2017
B
Rhode Island 4/26/2022
IA
Georgia 8/23/2017
B
South Carolina 8/4/2017
B
Idaho 2/27/2020
B
Tennessee 8/4/2017
B
Illinois 8/4/2017
B
Texas 8/4/2017
B
Iowa 4/20/2022
IA
Texas 8/4/2017
B
Kansas 8/4/2017
B
Utah 3/5/2019
B
Louisiana 11/22/2021
B
Virginia 8/4/2017
B
Massachusetts 8/8/2017
B
Wisconsin 8/4/2017

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)
2400 Lakeview Parkway Suite 300, Alpharetta, GA 30009
Registered with this firm since 8/4/2017
B
MORGAN STANLEY (CRD#:149777)
2400 Lakeview Parkway Suite 300, Alpharetta, GA 30009
Registered with this firm since 8/4/2017
Previous Registration(s)
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IA
 10/25/2004 - 08/07/2017 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) ALPHARETTA, GA
B
 01/09/1997 - 08/07/2017 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) ALPHARETTA, GA
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.