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JON ARTHUR GAROFALO
JON A GAROFALO
CRD#: 2853141
IA
B
MORGAN STANLEYCRD#: 149777 500 Post Road East
3Rd Floor
Westport, CT 06880
3Rd Floor
Westport, CT 06880
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7/18/2008
Customer Dispute
Settled
State Registrations
B
Alabama 7/14/2023
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New Hampshire 8/29/2014
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Arizona 8/29/2014
B
New Jersey 8/29/2014
B
California 8/29/2014
B
New Mexico 8/29/2014
B
Colorado 8/29/2014
B
New York 8/29/2014
B
Connecticut 8/29/2014
B
North Carolina 8/29/2014
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Connecticut 8/29/2014
B
North Dakota 8/29/2014
B
Delaware 12/18/2024
B
Ohio 10/9/2019
B
District of Columbia 9/10/2015
B
Oregon 9/4/2019
B
Florida 8/29/2014
B
Pennsylvania 3/21/2016
B
Georgia 8/29/2014
B
Rhode Island 8/29/2014
B
Illinois 11/20/2024
B
South Carolina 8/29/2014
B
Iowa 11/20/2024
B
Tennessee 11/15/2022
B
Louisiana 3/25/2015
B
Texas 8/29/2014
B
Maine 9/3/2014
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Texas 8/29/2014
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Maryland 5/7/2015
B
Utah 11/20/2024
B
Massachusetts 9/4/2014
B
Vermont 6/23/2021
B
Michigan 6/17/2015
B
Virginia 9/23/2014
B
Minnesota 8/9/2019
B
Washington 9/22/2023
B
Nebraska 2/28/2019
B
Wisconsin 11/22/2024
B
Nevada 8/11/2020
B
Wyoming 2/10/2025
SRO Registrations
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IA
Registered with this firm since 8/29/2014
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Registered with this firm since 8/29/2014
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/01/2012 - 09/10/2014 | FAIRFIELD, CT | |
B | 10/01/2012 - 09/10/2014 | FAIRFIELD, CT | |
IA | 10/04/2006 - 10/01/2012 | WESTPORT, CT | |
B | 10/04/2006 - 10/01/2012 | WESTPORT, CT | |
IA | 12/01/2005 - 10/04/2006 | GREENWICH, CT | |
B | 04/04/2005 - 10/04/2006 | NEW YORK, NY | |
IA | 10/20/2004 - 03/22/2005 | HUNTINGTON, CT | |
B | 10/20/2004 - 03/22/2005 | BOSTON, MA | |
IA | 12/04/2002 - 10/20/2004 | SHELTON, CT | |
B | 09/25/2000 - 10/20/2004 | NEW YORK, NY | |
B | 02/12/1999 - 09/25/2000 | BOSTON, MA | |
B | 09/18/1998 - 02/16/1999 | POMPTON LAKES, NJ |
For additional information about investment advisers or broker-dealers, please visit
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.
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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.
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