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Detailed Report
LISA YVONNE COOPER
LISA YVONNE DAY
CRD#: 2980817
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 1 HARBOUR PLACE
SUITE 125
PORTSMOUTH, NH 03801
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2009 - 2011 (2 years)2 FIRMS2011 - Present (13 years)BBANC OF AMERICA INVESTMENT SER... (CRD# 16361)2006 - 2009 (3 years)BMORGAN STANLEY DW INC. (CRD# 7556)1999 - 2006 (7 years)BFIDELITY BROKERAGE SERVICES, INC. (CRD# 7784)1999 - 1999 (<1 year)IABANC OF AMERICA INVESTMENT SER... (CRD# 16361)2009 - 2009 (<1 year)IABANC OF AMERICA INVESTMENT SER... (CRD# 16361)2007 - 2009 (2 years)
License(s)

State Registrations

B
Alabama 4/29/2022
B
Nevada 3/5/2012
B
Alaska 4/29/2022
B
New Hampshire 11/18/2011
B
Arizona 5/23/2012
IA
New Hampshire 11/21/2011
B
Arkansas 2/20/2019
B
New Jersey 4/24/2014
B
California 2/25/2015
B
New Mexico 2/20/2019
B
Colorado 5/11/2022
B
New York 1/20/2022
B
Connecticut 5/11/2022
B
North Carolina 6/11/2014
B
Delaware 5/11/2022
B
North Dakota 2/20/2019
B
District of Columbia 5/11/2022
B
Ohio 1/7/2014
B
Florida 12/1/2011
B
Oklahoma 5/25/2022
B
Georgia 9/5/2014
B
Oregon 6/12/2014
B
Hawaii 1/29/2014
B
Pennsylvania 5/27/2014
B
Idaho 5/25/2022
B
Puerto Rico 2/20/2019
B
Illinois 9/5/2014
B
Rhode Island 6/11/2014
B
Indiana 5/30/2014
B
South Carolina 7/23/2018
B
Iowa 5/25/2022
B
South Dakota 2/20/2019
B
Kansas 5/25/2022
B
Tennessee 7/30/2014
B
Kentucky 5/25/2022
B
Texas 6/16/2014
B
Louisiana 5/25/2022
IA
Texas 3/26/2020
B
Maine 11/30/2011
B
Utah 2/20/2019
B
Maryland 1/16/2015
B
Vermont 11/9/2015
B
Massachusetts 12/5/2011
B
Virgin Islands 5/25/2022
B
Michigan 5/25/2022
B
Virginia 5/27/2014
B
Minnesota 1/10/2014
B
Washington 6/11/2014
B
Mississippi 2/20/2019
B
West Virginia 5/25/2022
B
Missouri 4/29/2022
B
Wisconsin 2/20/2019
B
Montana 6/15/2021
B
Wyoming 5/25/2022
B
Nebraska 2/20/2019

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)
1 HARBOUR PLACE SUITE 125, PORTSMOUTH, NH 03801
1155 Elm Street 6th Floor, Manchester, NH 03101
Registered with this firm since 11/21/2011
B
MORGAN STANLEY (CRD#:149777)
1 HARBOUR PLACE SUITE 125, PORTSMOUTH, NH 03801
1155 Elm Street 6th Floor, Manchester, NH 03101
Registered with this firm since 11/18/2011
Previous Registration(s)
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IA
 10/23/2009 - 10/24/2011 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) CHARLOTTE, NC
B
 10/23/2009 - 10/24/2011 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) CHARLOTTE, NC
IA
 07/11/2009 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) CHARLOTTE, NC
B
 08/31/2006 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) CHARLOTTE, NC
IA
 04/11/2007 - 07/09/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) CHARLOTTE, NC
B
 09/21/1999 - 09/01/2006 MORGAN STANLEY DW INC. (CRD#:7556) MANCHESTER, NH
B
 01/01/1999 - 06/11/1999 FIDELITY BROKERAGE SERVICES, INC. (CRD#:7784) SMITHFIELD, RI
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.