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STEVEN THOMAS FISCHER
CRD#: 3002831
IA
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MORGAN STANLEYCRD#: 149777 20975 Swenson Drive
Suite 300
Waukesha, WI 53186
Suite 300
Waukesha, WI 53186
0
Disclosures
27
Years of Experience
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State Registrations
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Alabama 1/10/2025
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Montana 1/31/2020
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Arizona 6/1/2009
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Nebraska 1/10/2025
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Arkansas 6/1/2009
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Nevada 10/25/2018
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California 6/1/2009
B
New Hampshire 1/27/2025
B
Colorado 7/30/2010
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New Jersey 1/31/2020
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Connecticut 1/10/2025
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New Mexico 6/1/2009
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Delaware 1/10/2025
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New York 6/1/2009
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District of Columbia 8/10/2020
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North Carolina 1/13/2015
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Florida 6/1/2009
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Ohio 2/10/2020
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Georgia 1/28/2015
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Oregon 9/18/2023
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Hawaii 5/4/2021
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Pennsylvania 1/10/2025
B
Idaho 1/10/2025
B
South Carolina 1/13/2015
B
Illinois 6/1/2009
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Tennessee 1/31/2020
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Indiana 5/19/2015
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Texas 6/1/2009
B
Iowa 7/16/2019
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Texas 6/1/2009
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Kansas 1/31/2020
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Utah 1/9/2025
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Kentucky 1/15/2025
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Vermont 1/14/2013
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Louisiana 7/6/2012
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Virginia 3/7/2022
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Maryland 1/13/2015
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Washington 1/15/2019
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Massachusetts 1/31/2020
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West Virginia 4/27/2021
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Michigan 1/13/2015
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Wisconsin 6/1/2009
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Minnesota 6/1/2009
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Wisconsin 6/1/2009
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Missouri 6/1/2009
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Wyoming 1/10/2025
SRO Registrations
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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 | WAUWATOSA, WI | |
B | 04/02/2007 - 06/01/2009 | WAUWATOSA, WI | |
IA | 01/06/2004 - 04/02/2007 | WAUWATOSA, WI | |
B | 02/14/1998 - 04/02/2007 | WAUWATOSA, WI |
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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.