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Detailed Report
COLLEEN MARIE LAMB
COLLEEN MARIE SULLIVAN
CRD#: 2931897
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 20975 Swenson Drive
Suite 300
Waukesha, WI 53186
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2008 - 2009 (<1 year)2 FIRMS2009 - Present (15 years)BROBERT W. BAIRD & CO. INCORPORATED (CRD# 8158)2005 - 2008 (2 years)BSTRONG INVESTMENTS, INC. (CRD# 15658)2000 - 2004 (3 years)BBERTHEL, FISHER & COMPANY FINA... (CRD# 13609)1997 - 2000 (2 years)
License(s)

State Registrations

B
Alabama 8/21/2014
B
Montana 4/25/2022
B
Arizona 6/1/2009
B
Nebraska 2/26/2016
B
Arkansas 10/18/2021
B
Nevada 1/4/2011
B
California 6/1/2009
B
New Hampshire 6/1/2009
B
Colorado 6/1/2009
B
New Jersey 8/21/2014
B
Connecticut 6/1/2009
B
New Mexico 4/12/2016
B
Delaware 8/22/2023
B
New York 6/1/2009
B
District of Columbia 1/4/2011
B
North Carolina 3/5/2014
B
Florida 6/1/2009
B
Ohio 6/7/2010
B
Georgia 6/1/2009
B
Oregon 9/3/2009
B
Hawaii 7/26/2022
B
Pennsylvania 1/4/2011
B
Idaho 2/20/2020
B
Puerto Rico 4/22/2022
B
Illinois 6/1/2009
B
Rhode Island 10/18/2021
B
Indiana 1/4/2011
B
South Carolina 8/5/2011
B
Iowa 4/13/2010
B
Tennessee 8/5/2011
B
Kansas 6/1/2009
B
Texas 6/1/2009
B
Kentucky 10/18/2021
IA
Texas 6/25/2009
B
Louisiana 6/1/2009
B
Utah 8/22/2023
B
Maryland 6/1/2009
B
Vermont 8/22/2023
B
Massachusetts 4/20/2020
B
Virginia 6/20/2013
B
Michigan 3/20/2014
B
Washington 6/1/2009
B
Minnesota 6/1/2009
B
Wisconsin 6/1/2009
B
Mississippi 10/18/2021
IA
Wisconsin 6/1/2009
B
Missouri 4/12/2016
B
Wyoming 1/4/2011

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)
20975 Swenson Drive Suite 300, Waukesha, WI 53186
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
20975 Swenson Drive Suite 300, Waukesha, WI 53186
Registered with this firm since 6/1/2009
Previous Registration(s)
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IA
 08/01/2008 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) WAUWATOSA, WI
B
 08/01/2008 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) WAUWATOSA, WI
B
 12/01/2005 - 08/05/2008 ROBERT W. BAIRD & CO. INCORPORATED (CRD#:8158) MILWAUKEE, WI
B
 07/05/2000 - 05/24/2004 STRONG INVESTMENTS, INC. (CRD#:15658) MENOMONEE FALLS, WI
B
 09/08/1997 - 06/23/2000 BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. (CRD#:13609) CEDAR RAPIDS, IA
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.