Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
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Detailed Report
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS1997 - 2006 (8 years)2 FIRMS2006 - 2009 (3 years)2 FIRMS2009 - Present (16 years)
Disclosure(s)
View By:
3/10/2004
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 6/1/2009
B
New York 6/1/2009
IA
Arizona 2/5/2014
B
North Carolina 6/1/2009
B
California 6/1/2009
B
Ohio 1/13/2023
B
Colorado 6/1/2009
B
Oregon 3/30/2023
B
Connecticut 1/4/2023
B
Pennsylvania 6/1/2009
B
Delaware 4/28/2014
B
Rhode Island 1/5/2023
B
District of Columbia 6/1/2009
B
South Carolina 11/16/2022
B
Florida 6/1/2009
B
South Dakota 12/12/2023
B
Georgia 6/1/2009
B
Texas 6/1/2009
B
Illinois 6/1/2009
IA
Texas 2/20/2020
B
Maryland 6/1/2009
B
Utah 8/9/2012
IA
Maryland 6/1/2009
B
Vermont 3/18/2010
B
Massachusetts 6/1/2009
B
Virgin Islands 9/22/2022
B
Michigan 3/18/2020
B
Virginia 6/1/2009
B
Mississippi 6/1/2009
B
Washington 11/5/2018
B
Montana 11/13/2019
B
West Virginia 6/1/2009
B
New Hampshire 6/1/2009
B
Wisconsin 2/1/2023
B
New Jersey 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)
Scottsdale, AZ
Flagstaff, AZ
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
Scottsdale, AZ
Flagstaff, AZ
Registered with this firm since 6/1/2009
Previous Registration(s)
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IA
 02/21/2006 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) PIKESVILLE, MD
B
 02/21/2006 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) PIKESVILLE, MD
IA
 06/06/1997 - 02/21/2006 LEGG MASON WOOD WALKER INC (CRD#:6555) PIKESVILLE, MD
B
 04/02/1997 - 02/21/2006 LEGG MASON WOOD WALKER, INCORPORATED (CRD#:6555) BALTIMORE, MD
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.