Individual Firm
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JEFFREY ALAN STEIN
CRD#: 2931529
IA
B
MORGAN STANLEYCRD#: 149777 2800 Post Oak Boulevard
Suite 3200
Houston, TX 77056
Suite 3200
Houston, TX 77056
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12/21/2001
Customer Dispute
Settled
State Registrations
B
Arizona 7/17/2018
B
New Jersey 9/15/2014
B
Arkansas 9/15/2014
B
New Mexico 9/15/2014
B
California 9/15/2014
B
New York 9/15/2014
B
Colorado 11/24/2014
B
North Carolina 9/15/2014
B
Connecticut 9/15/2014
B
Ohio 8/21/2023
B
Delaware 8/30/2021
B
Pennsylvania 11/13/2024
B
Florida 9/15/2014
B
Puerto Rico 5/16/2019
B
Illinois 2/27/2020
B
South Carolina 4/25/2022
B
Kentucky 9/15/2014
B
Tennessee 3/5/2021
B
Louisiana 9/15/2014
B
Texas 9/15/2014
B
Maryland 9/15/2014
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Texas 10/21/2014
B
Massachusetts 1/23/2023
B
Virginia 7/3/2019
B
Michigan 1/31/2020
B
Washington 9/15/2014
B
Mississippi 9/15/2014
SRO Registrations
B
B
B
B
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Registered with this firm since 10/21/2014
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Registered with this firm since 9/15/2014
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 11/04/2004 - 09/23/2014 | NEW YORK, NY | |
B | 08/20/2003 - 07/22/2004 | NEW YORK, NY | |
B | 04/18/2000 - 09/05/2003 | NEW YORK, NY | |
B | 09/03/1997 - 05/17/2000 | NEW YORK, NY |
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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.