Individual Firm
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WILLIAM DRAKE PORTER
DRAKE PORTER, WILLIAM PORTER, Drake Porter
CRD#: 2872059
IA
B
MORGAN STANLEYCRD#: 149777 3102 West End Avenue
Suite 200
Nashville, TN 37203
Suite 200
Nashville, TN 37203
View By:
7/27/2009
Customer Dispute
Settled
State Registrations
B
Alabama 10/14/2011
B
New York 11/3/2014
B
Arizona 5/1/2018
B
North Carolina 11/27/2020
B
Arkansas 12/6/2011
B
Ohio 12/16/2014
B
California 3/5/2024
B
Oklahoma 9/16/2016
B
Colorado 5/16/2018
B
Oregon 2/14/2017
B
Florida 11/3/2011
B
Pennsylvania 1/31/2024
IA
Florida 11/23/2016
B
Rhode Island 3/27/2018
B
Georgia 10/31/2011
B
South Carolina 12/6/2011
B
Illinois 9/16/2016
B
Tennessee 10/14/2011
B
Indiana 7/21/2015
IA
Tennessee 10/14/2011
B
Kentucky 10/31/2011
B
Texas 1/2/2020
B
Maine 2/9/2024
IA
Texas 5/5/2020
B
Maryland 12/12/2023
B
Virginia 10/28/2016
B
Massachusetts 9/23/2016
B
Washington 3/28/2022
B
Mississippi 9/9/2021
B
Wisconsin 9/1/2022
B
Missouri 5/20/2013
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 10/14/2011
B
Registered with this firm since 10/14/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/13/2007 - 10/24/2011 | NASHVILLE, TN | |
B | 02/13/2007 - 10/24/2011 | NASHVILLE, TN | |
IA | 12/20/2006 - 02/13/2007 | BIRMINGHAM, AL | |
B | 09/12/2003 - 02/13/2007 | NASHVILLE, TN | |
B | 03/03/2003 - 08/29/2003 | MONTGOMERY, AL | |
IA | 10/05/1998 - 03/06/2003 | BIRMINGHAM, AL | |
B | 12/19/1997 - 03/06/2003 | NEW YORK, NY |
BIRMINGHAM, AL
12/20/2006 - 02/13/2007
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.