Individual Firm
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LARRY JOHN GARCIA
CRD#: 2875624
IA
B
MORGAN STANLEYCRD#: 149777 4000 Carillon Point
Suite 600
Kirkland, WA 98033
Suite 600
Kirkland, WA 98033
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5/18/2009
Customer Dispute
Denied
State Registrations
B
Alabama 5/30/2019
B
Montana 12/26/2017
B
Alaska 2/14/2012
B
Nebraska 11/13/2024
B
Arizona 6/1/2009
B
Nevada 6/1/2009
B
Arkansas 11/13/2024
B
New Hampshire 1/7/2020
B
California 6/1/2009
B
New Jersey 3/2/2011
B
Colorado 6/1/2009
B
New Mexico 1/16/2018
B
Connecticut 2/7/2018
B
New York 9/8/2009
B
Delaware 3/29/2021
B
North Carolina 11/15/2013
B
District of Columbia 9/22/2020
B
North Dakota 11/13/2024
B
Florida 6/1/2009
B
Ohio 4/30/2021
B
Georgia 7/18/2016
B
Oklahoma 9/21/2018
B
Hawaii 11/4/2015
B
Oregon 6/1/2009
B
Idaho 6/1/2009
B
Pennsylvania 6/17/2015
B
Illinois 6/1/2009
B
Rhode Island 4/27/2021
B
Indiana 4/30/2013
B
South Carolina 12/12/2023
B
Iowa 9/22/2020
B
South Dakota 1/8/2018
B
Kansas 6/4/2013
B
Tennessee 4/23/2015
B
Kentucky 11/13/2024
B
Texas 6/10/2016
B
Louisiana 9/22/2020
IA
Texas 6/6/2018
B
Maine 8/12/2013
B
Utah 6/15/2016
B
Maryland 2/24/2023
B
Vermont 8/30/2011
B
Massachusetts 12/26/2017
B
Virginia 6/6/2018
B
Michigan 8/8/2011
B
Washington 6/1/2009
B
Minnesota 11/13/2024
IA
Washington 6/1/2009
B
Mississippi 6/1/2009
B
Wisconsin 6/21/2018
B
Missouri 6/1/2009
B
Wyoming 6/21/2018
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 6/1/2009
B
Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/09/2008 - 06/01/2009 | BELLEVUE, WA | |
B | 05/09/2008 - 06/01/2009 | BELLEVUE, WA | |
IA | 04/09/2001 - 05/21/2008 | BELLEVUE, WA | |
B | 03/09/2001 - 05/21/2008 | BELLEVUE, WA | |
B | 04/25/1997 - 03/20/2001 | MINNEAPOLIS, MN |
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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.