Individual Firm
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MARK JAMES CORDEIRO
CRD#: 2997598
IA
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MORGAN STANLEYCRD#: 149777 700 Main Street
Suite 315
Napa, CA 94559
Suite 315
Napa, CA 94559
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6/10/2002
Customer Dispute
Settled
10/22/2001
Customer Dispute
Settled
State Registrations
B
Alabama 1/7/2022
B
Nevada 5/10/2013
B
Alaska 5/19/2023
B
New Jersey 4/8/2014
B
Arizona 6/1/2009
B
New York 4/15/2014
B
Arkansas 5/24/2023
B
North Carolina 4/27/2023
B
California 6/1/2009
B
Ohio 4/28/2023
IA
California 6/1/2009
B
Oregon 3/8/2017
B
Colorado 2/27/2017
B
Pennsylvania 3/2/2023
B
Connecticut 5/12/2023
B
Tennessee 7/11/2018
B
Florida 2/23/2017
B
Texas 10/13/2020
B
Georgia 2/14/2019
IA
Texas 10/15/2020
B
Hawaii 5/19/2022
B
Utah 2/23/2017
B
Idaho 8/27/2018
B
Vermont 1/17/2023
B
Maryland 2/23/2017
B
Virginia 4/26/2023
B
Michigan 9/20/2021
B
Washington 9/11/2013
B
Minnesota 7/12/2023
SRO Registrations
B
B
B
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IA
Registered with this firm since 6/1/2009
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Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/02/2007 - 06/01/2009 | NAPA, CA | |
B | 04/02/2007 - 06/01/2009 | NAPA, CA | |
IA | 12/15/2003 - 04/02/2007 | NAPA, CA | |
B | 12/12/2003 - 04/02/2007 | NAPA, CA | |
B | 08/12/1998 - 12/18/2003 | WEEHAWKEN, NJ |
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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.