Individual Firm
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Daniel Andres Aruca
DANIEL ANDRES ARUCA POTTS
CRD#: 3001777
IA
B
MORGAN STANLEYCRD#: 149777 220 Alhambra Circle
10Th Floor
Coral Gables, FL 33134
10Th Floor
Coral Gables, FL 33134
View By:
8/8/2024
Customer Dispute
Denied
State Registrations
B
Colorado 4/10/2019
B
New Jersey 2/19/2021
B
Connecticut 2/13/2024
B
New York 5/29/2020
B
Delaware 8/21/2019
B
Pennsylvania 11/16/2023
B
Florida 4/10/2019
B
South Carolina 5/10/2021
IA
Florida 4/11/2019
B
Texas 4/10/2019
B
Hawaii 6/10/2022
IA
Texas 4/10/2019
B
Indiana 2/20/2025
B
Utah 2/19/2021
B
Massachusetts 4/12/2021
B
Virginia 1/5/2021
B
New Hampshire 8/16/2021
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 4/10/2019
B
Registered with this firm since 4/10/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/06/2015 - 04/16/2019 | PINECREST, FL | |
B | 10/02/2015 - 04/16/2019 | PINECREST, FL |
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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.