Individual Firm
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SANDRA OVENS BERGLUND
SANDRA MAE OVENS
CRD#: 3037275
IA
B
MORGAN STANLEYCRD#: 149777 1441 West Ute Boulevard
Suite 180
Park City, UT 84098
Suite 180
Park City, UT 84098
0
Disclosures
25
Years of Experience
View By:
State Registrations
B
Alabama 5/1/2019
B
Michigan 2/2/2011
B
Arizona 9/16/2010
B
Missouri 9/16/2010
B
Arkansas 1/20/2021
B
Montana 2/26/2020
B
California 9/16/2010
B
Nevada 1/5/2016
B
Colorado 10/1/2015
B
New York 5/13/2016
IA
Colorado 1/27/2022
B
North Carolina 3/29/2022
B
Florida 1/5/2016
B
Oregon 9/16/2010
B
Georgia 1/5/2016
B
Texas 4/7/2014
B
Idaho 1/5/2016
IA
Texas 3/3/2020
B
Illinois 1/5/2016
B
Utah 9/16/2010
B
Louisiana 7/26/2023
IA
Utah 9/20/2010
B
Maryland 1/5/2016
B
Washington 9/16/2010
B
Massachusetts 4/25/2017
B
Wyoming 1/20/2016
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 9/20/2010
B
Registered with this firm since 9/16/2010
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/12/2006 - 09/23/2010 | SALT LAKE CITY, UT | |
B | 08/12/2006 - 09/23/2010 | ABERDEEN, WA | |
IA | 07/07/2004 - 08/12/2006 | ABERDEEN, WA | |
B | 07/15/2004 - 08/12/2006 | ABERDEEN, WA | |
IA | 08/30/2001 - 03/06/2003 | BOULDER, CO | |
B | 04/29/1998 - 03/06/2003 | MINNEAPOLIS, MN |
For additional information about investment advisers or broker-dealers, please visit
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.