Individual Firm
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JON FARRINGTON WAGNER
JON F WAGNER
CRD#: 2906392
IA
B
MORGAN STANLEYCRD#: 149777 200 Public Square
Suite 2600
Cleveland, OH 44114
Suite 2600
Cleveland, OH 44114
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1/21/2009
Customer Dispute
Settled
State Registrations
B
Alabama 7/11/2023
B
New York 6/30/2023
B
California 6/30/2023
B
North Carolina 6/30/2023
B
Colorado 6/30/2023
B
Ohio 6/30/2023
B
Florida 6/30/2023
IA
Ohio 7/5/2023
B
Illinois 7/13/2023
B
Pennsylvania 6/30/2023
B
Kansas 11/6/2023
B
South Carolina 6/30/2023
B
Maryland 6/30/2023
B
Tennessee 6/30/2023
B
Massachusetts 6/30/2023
B
Texas 6/30/2023
B
Michigan 6/30/2023
IA
Texas 6/30/2023
B
New Jersey 6/30/2023
B
Virginia 4/18/2024
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 6/30/2023
B
Registered with this firm since 6/30/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/13/1999 - 07/05/2023 | WESTLAKE, OH | |
B | 09/04/1997 - 07/05/2023 | WESTLAKE, OH |
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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.