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Detailed Report
BRIAN STEWART PENZEL
BRIAN S PENZEL
CRD#: 2855021
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 1400 Page Mill Road
Palo Alto, CA 94304
Registration History
199820002002200420062008201020122014201620182020202220242026IAMORGAN STANLEY (CRD# 149777)2020 - Present (4 years)BMORGAN STANLEY (CRD# 149777)2009 - Present (15 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2002 - 2009 (7 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1997 - 1999 (2 years)
License(s)

State Registrations

B
Alabama 6/1/2009
B
Nebraska 6/1/2009
B
Alaska 6/1/2009
B
Nevada 6/1/2009
B
Arizona 6/1/2009
B
New Hampshire 6/1/2009
B
Arkansas 6/1/2009
B
New Jersey 6/1/2009
B
California 6/1/2009
B
New Mexico 6/1/2009
IA
California 6/29/2020
B
New York 6/1/2009
B
Colorado 6/1/2009
B
North Carolina 6/1/2009
B
Connecticut 6/1/2009
B
North Dakota 6/1/2009
B
Delaware 6/1/2009
B
Ohio 6/1/2009
B
District of Columbia 6/1/2009
B
Oklahoma 6/1/2009
B
Florida 6/1/2009
B
Oregon 6/1/2009
B
Georgia 6/1/2009
B
Pennsylvania 6/1/2009
B
Hawaii 6/1/2009
B
Puerto Rico 6/1/2009
B
Idaho 6/1/2009
B
Rhode Island 6/1/2009
B
Illinois 6/1/2009
B
South Carolina 6/1/2009
B
Indiana 6/1/2009
B
South Dakota 6/1/2009
B
Iowa 6/1/2009
B
Tennessee 6/1/2009
B
Kansas 6/1/2009
B
Texas 6/1/2009
B
Kentucky 6/1/2009
IA
Texas 12/13/2021
B
Louisiana 6/1/2009
B
Utah 6/1/2009
B
Maine 6/1/2009
B
Vermont 6/1/2009
B
Maryland 6/1/2009
B
Virgin Islands 7/23/2020
B
Massachusetts 6/1/2009
B
Virginia 6/1/2009
B
Michigan 6/1/2009
B
Washington 6/1/2009
B
Minnesota 6/1/2009
B
West Virginia 6/1/2009
B
Mississippi 6/1/2009
B
Wisconsin 6/1/2009
B
Missouri 6/1/2009
B
Wyoming 6/1/2009
B
Montana 6/1/2009

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)
1400 Page Mill Road, Palo Alto, CA 94304
Registered with this firm since 6/29/2020
B
MORGAN STANLEY (CRD#:149777)
1400 Page Mill Road, Palo Alto, CA 94304
Registered with this firm since 6/1/2009
Previous Registration(s)
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B
 05/03/2002 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) PALO ALTO, CA
B
 03/13/1997 - 05/27/1999 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
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.