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Detailed Report
DANIEL JOE BALDWIN
CRD#: 2853392
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 1333 North California Boulevard
Suite 133
Walnut Creek, CA 94596
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS1997 - 2009 (11 years)2 FIRMS2009 - 2009 (<1 year)2 FIRMS2009 - Present (15 years)
Disclosure(s)
View By:
9/26/2001
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 4/16/2014
B
Minnesota 3/5/2024
B
Arizona 5/3/2012
B
Missouri 9/14/2010
B
Arkansas 6/16/2020
B
Montana 6/1/2009
B
California 6/1/2009
B
Nevada 12/18/2015
IA
California 6/1/2009
B
New Jersey 6/1/2009
B
Colorado 3/19/2015
B
New Mexico 2/2/2015
B
Connecticut 6/1/2009
B
New York 6/1/2009
B
Delaware 2/1/2016
B
North Carolina 1/11/2018
B
District of Columbia 2/23/2024
B
Oklahoma 11/26/2018
B
Florida 6/1/2009
B
Oregon 6/1/2009
B
Georgia 9/3/2020
B
Pennsylvania 6/1/2009
B
Hawaii 6/3/2015
B
South Carolina 3/31/2020
B
Idaho 12/5/2022
B
Tennessee 6/1/2009
B
Illinois 11/21/2018
B
Texas 6/1/2009
B
Indiana 6/17/2020
IA
Texas 6/1/2009
B
Iowa 3/16/2023
B
Utah 10/22/2018
B
Kansas 7/15/2021
B
Vermont 2/27/2015
B
Kentucky 1/28/2022
B
Virginia 6/1/2009
B
Louisiana 10/17/2022
B
Washington 6/1/2009
B
Maryland 9/8/2023
B
Wisconsin 11/30/2023
B
Massachusetts 6/1/2009
B
Wyoming 8/9/2021
B
Michigan 11/27/2018

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)
1333 North California Boulevard Suite 133, Walnut Creek, CA 94596
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
1333 North California Boulevard Suite 133, Walnut Creek, CA 94596
Registered with this firm since 6/1/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/09/2009 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) WALNUT CREEK, CA
B
 01/12/2009 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) WALNUT CREEK, CA
IA
 07/08/1997 - 01/27/2009 UBS FINANCIAL SERVICES INC. (CRD#:8174) WALNUT CREEK, CA
B
 03/04/1997 - 01/27/2009 UBS FINANCIAL SERVICES INC. (CRD#:8174) WALNUT CREEK, CA
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.