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Detailed Report
DAVID LEE FRALEY II
DAVID LEE FRALEY II II
CRD#: 2932295
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 7311 Crossleigh Court
Toledo, OH 43617
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2006 - 2009 (2 years)2 FIRMS2009 - Present (15 years)BMCDONALD INVESTMENTS INC. (CRD# 566)2001 - 2006 (5 years)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1997 - 2001 (3 years)IAMCDONALD INVESTMENTS INC. (CRD# 566)2005 - 2006 (1 year)
License(s)

State Registrations

B
Alabama 11/7/2011
B
Montana 10/10/2014
B
Arizona 11/7/2011
B
Nebraska 7/22/2022
B
California 6/1/2009
B
Nevada 5/29/2019
B
Colorado 11/7/2011
B
New Jersey 1/5/2022
B
Connecticut 11/7/2011
B
New York 8/23/2021
B
District of Columbia 11/7/2011
B
North Carolina 11/8/2011
B
Florida 6/1/2009
B
Ohio 6/1/2009
B
Georgia 10/10/2014
IA
Ohio 6/1/2009
B
Illinois 11/7/2011
B
Oregon 10/10/2014
B
Indiana 11/7/2011
B
Pennsylvania 11/7/2011
B
Iowa 11/28/2023
B
South Carolina 11/29/2012
B
Kansas 8/1/2022
B
Tennessee 11/7/2011
B
Kentucky 11/7/2011
B
Texas 11/7/2011
B
Maine 12/12/2023
IA
Texas 4/2/2020
B
Maryland 11/7/2011
B
Utah 8/2/2018
B
Massachusetts 11/7/2011
B
Virginia 11/7/2011
B
Michigan 6/1/2009
B
Washington 11/7/2011
IA
Michigan 2/15/2022
B
Wisconsin 11/7/2011
B
Minnesota 11/18/2019

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)
7311 Crossleigh Court, Toledo, OH 43617
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
7311 Crossleigh Court, Toledo, OH 43617
Registered with this firm since 6/1/2009
Previous Registration(s)
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IA
 12/04/2006 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) TOLEDO, OH
B
 12/01/2006 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) TOLEDO, OH
IA
 10/07/2005 - 12/08/2006 MCDONALD INVESTMENTS INC. (CRD#:566) PERRYSBURG, OH
B
 01/05/2001 - 12/08/2006 MCDONALD INVESTMENTS INC. (CRD#:566) PERRYSBURG, OH
B
 09/12/1997 - 01/18/2001 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
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.