Individual Firm
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
SUSANNA L ADLER
CRD#: 2937395
IA
B
MORGAN STANLEYCRD#: 149777 9665 Wilshire Boulevard
Suite 600
Beverly Hills, CA 90212
Suite 600
Beverly Hills, CA 90212
View By:
8/1/2022
Customer Dispute
Denied
4/21/2016
Customer Dispute
Denied
3/18/2016
Customer Dispute
Denied
7/23/2010
Customer Dispute
Settled
State Registrations
B
Alabama 4/26/2024
B
Missouri 8/28/2014
B
Alaska 4/25/2024
B
Montana 2/22/2024
B
Arizona 6/1/2009
B
Nevada 8/5/2015
B
Arkansas 4/30/2024
B
New Hampshire 2/22/2024
B
California 6/1/2009
B
New Jersey 6/1/2009
IA
California 6/1/2009
B
New Mexico 4/26/2024
B
Colorado 6/20/2018
B
New York 6/1/2009
B
Connecticut 2/22/2024
B
North Carolina 3/25/2020
B
Delaware 10/31/2019
B
Ohio 2/22/2024
B
District of Columbia 2/23/2024
B
Oklahoma 4/29/2024
B
Florida 6/1/2009
B
Oregon 2/21/2024
B
Georgia 2/22/2024
B
Pennsylvania 2/22/2024
B
Hawaii 4/28/2014
B
Rhode Island 2/22/2024
B
Idaho 4/11/2024
B
South Carolina 2/22/2024
B
Illinois 11/23/2022
B
South Dakota 2/22/2024
B
Indiana 2/22/2024
B
Tennessee 2/23/2024
B
Kansas 2/22/2024
B
Texas 6/16/2015
B
Louisiana 2/26/2024
IA
Texas 10/10/2018
B
Maine 1/28/2021
B
Utah 2/22/2024
B
Maryland 10/10/2018
B
Vermont 4/29/2024
B
Massachusetts 4/6/2011
B
Virginia 2/22/2024
B
Michigan 6/1/2009
B
Washington 11/11/2015
B
Minnesota 2/22/2024
B
Wisconsin 2/22/2024
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 | 04/02/2007 - 06/01/2009 | BEVERLY HILLS, CA | |
B | 04/02/2007 - 06/01/2009 | BEVERLY HILLS, CA | |
IA | 04/01/2004 - 04/02/2007 | BEVERLY HILLS, CA | |
B | 04/09/2004 - 04/02/2007 | BEVERLY HILLS, CA | |
IA | 07/08/1997 - 07/01/2002 | BEVERLY HILLS, CA | |
B | 02/16/2001 - 07/01/2002 | WEEHAWKEN, NJ | |
B | 10/02/1997 - 03/02/2001 | PURCHASE, NY |
For additional information about investment advisers or broker-dealers, please visit
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.