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Detailed Report
THOMAS WILLIAM HOAGLAND
CRD#: 2978386
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 1200 Lenox Drive
Suite 300
Lawrenceville, NJ 08648
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2004 - 2006 (1 year)2 FIRMS2006 - 2009 (3 years)2 FIRMS2009 - 2009 (<1 year)2 FIRMS2009 - 2010 (<1 year)2 FIRMS2010 - 2012 (2 years)2 FIRMS2012 - 2012 (<1 year)2 FIRMS2012 - Present (12 years)BTD WATERHOUSE INVESTOR SERVICE... (CRD# 7870)2003 - 2004 (<1 year)BHARRIS INVESTOR SERVICES LLC (CRD# 42159)1999 - 2003 (4 years)BALLIANCE FUND DISTRIBUTORS, INC. (CRD# 14549)1998 - 1999 (<1 year)BSEABOARD SECURITIES, INC. (CRD# 755)1997 - 1998 (<1 year)IATD WATERHOUSE INVESTOR SERVICE... (CRD# 7870)2004 - 2004 (<1 year)
License(s)

State Registrations

B
Alabama 2/3/2016
B
Nevada 2/3/2016
B
Alaska 2/3/2016
B
New Hampshire 2/3/2016
B
Arizona 6/6/2013
B
New Jersey 10/24/2012
B
Arkansas 2/3/2016
IA
New Jersey 10/24/2012
B
California 2/3/2016
B
New Mexico 2/3/2016
B
Colorado 2/3/2016
B
New York 10/24/2012
B
Connecticut 2/3/2016
B
North Carolina 2/3/2016
B
Delaware 2/3/2016
B
North Dakota 2/3/2016
B
District of Columbia 2/3/2016
B
Ohio 2/3/2016
B
Florida 2/3/2016
B
Oklahoma 2/3/2016
B
Georgia 2/3/2016
B
Oregon 2/3/2016
B
Hawaii 2/3/2016
B
Pennsylvania 6/6/2013
B
Idaho 2/3/2016
B
Puerto Rico 2/3/2016
B
Illinois 2/3/2016
B
Rhode Island 2/3/2016
B
Indiana 2/3/2016
B
South Carolina 2/3/2016
B
Iowa 2/3/2016
B
South Dakota 2/3/2016
B
Kansas 2/3/2016
B
Tennessee 2/3/2016
B
Kentucky 2/3/2016
B
Texas 2/3/2016
B
Louisiana 2/3/2016
IA
Texas 4/15/2020
B
Maine 2/3/2016
B
Utah 2/3/2016
B
Maryland 2/3/2016
B
Vermont 2/3/2016
B
Massachusetts 2/3/2016
B
Virgin Islands 2/3/2016
B
Michigan 2/3/2016
B
Virginia 2/3/2016
B
Minnesota 2/3/2016
B
Washington 2/3/2016
B
Mississippi 2/3/2016
B
West Virginia 2/3/2016
B
Missouri 2/3/2016
B
Wisconsin 2/3/2016
B
Montana 2/3/2016
B
Wyoming 2/3/2016
B
Nebraska 2/3/2016

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)
1200 Lenox Drive Suite 300, Lawrenceville, NJ 08648
Registered with this firm since 10/24/2012
B
MORGAN STANLEY (CRD#:149777)
1200 Lenox Drive Suite 300, Lawrenceville, NJ 08648
Registered with this firm since 10/24/2012
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/05/2012 - 10/25/2012 UBS FINANCIAL SERVICES INC. (CRD#:8174) NEW YORK, NY
B
 04/05/2012 - 10/25/2012 UBS FINANCIAL SERVICES INC. (CRD#:8174) NEW YORK, NY
IA
 04/26/2010 - 05/18/2012 CREDIT SUISSE SECURITIES (USA) LLC (CRD#:816) NEW YORK, NY
B
 04/26/2010 - 05/18/2012 CREDIT SUISSE SECURITIES (USA) LLC (CRD#:816) NEW YORK, NY
IA
 10/22/2009 - 05/19/2010 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NEW YORK, NY
B
 10/22/2009 - 05/19/2010 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NEW YORK, NY
IA
 06/01/2009 - 10/22/2009 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) MT. LAUREL, NJ
B
 06/01/2009 - 10/22/2009 MORGAN STANLEY SMITH BARNEY (CRD#:149777) MT. LAUREL, NJ
IA
 06/15/2006 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) MT. LAUREL, NJ
B
 06/15/2006 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) MT. LAUREL, NJ
IA
 07/08/2004 - 06/15/2006 PNC INVESTMENTS (CRD#:129052) CHERRY HILL, NJ
B
 07/08/2004 - 06/15/2006 PNC INVESTMENTS (CRD#:129052) CHERRY HILL, NJ
IA
 01/12/2004 - 06/28/2004 TD WATERHOUSE INVESTOR SERVICES, INC. (CRD#:7870) CHERRY HILL, NJ
B
 10/20/2003 - 06/28/2004 TD WATERHOUSE INVESTOR SERVICES, INC. (CRD#:7870) OMAHA, NE
B
 04/18/1999 - 08/08/2003 HARRIS INVESTOR SERVICES LLC (CRD#:42159) JERSEY CITY, NJ
B
 06/30/1998 - 04/15/1999 ALLIANCE FUND DISTRIBUTORS, INC. (CRD#:14549) NASHVILLE, TN
B
 12/17/1997 - 09/14/1998 SEABOARD SECURITIES, INC. (CRD#:755)
FINRA expelled the firm on 02/11/2011
FLORHAM PARK, NJ
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.