Individual Firm
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CELESTE DINERMAN
CELESTE RONI GUIE
CRD#: 2942377
IA
B
MORGAN STANLEYCRD#: 149777 2400 Lakeview Parkway Suite 300
Alpharetta, GA 30009
Alpharetta, GA 30009
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8/22/2019
Customer Dispute
Settled
12/16/2011
Customer Dispute
Denied
6/13/2008
Customer Dispute
Settled
1/11/2007
Customer Dispute
Settled
State Registrations
B
California 2/11/2011
B
New Jersey 7/30/2020
B
Colorado 3/2/2021
B
New York 2/11/2011
B
Connecticut 2/11/2011
B
North Carolina 2/14/2011
IA
Connecticut 7/3/2013
B
Ohio 11/1/2023
B
Delaware 11/14/2024
B
Oregon 2/1/2021
B
Florida 5/2/2011
B
Pennsylvania 9/12/2016
B
Georgia 5/10/2022
B
Rhode Island 8/28/2018
IA
Georgia 7/19/2022
B
South Carolina 3/22/2011
B
Kansas 7/28/2011
IA
Texas 10/20/2021
B
Maryland 2/11/2011
B
Vermont 6/11/2020
B
Michigan 9/25/2013
B
Virginia 8/12/2019
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 2/11/2011
B
Registered with this firm since 2/11/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/27/2006 - 02/14/2011 | COMMACK, NY | |
B | 09/13/2004 - 02/14/2011 | COMMACK, NY | |
B | 10/06/2003 - 09/16/2004 | SPRINGFIELD, MA | |
B | 10/06/2003 - 09/16/2004 | NEW YORK, NY | |
B | 09/29/2000 - 09/10/2003 | ST. LOUIS, MO | |
B | 03/20/1998 - 10/03/2000 | CHICAGO, IL |
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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.