Individual Firm
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ANTHONY WYKES
ANTONY WYKES
CRD#: 3045914
IA
B
MORGAN STANLEYCRD#: 149777 12505 PARK POTOMAC AVENUE
SUITE 200
POTOMAC, MD 20854
SUITE 200
POTOMAC, MD 20854
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4/3/2012
Customer Dispute
Withdrawn
State Registrations
B
California 11/2/2017
B
Maryland 4/7/2017
B
Colorado 11/10/2020
IA
Maryland 4/7/2017
B
Delaware 9/14/2017
B
Massachusetts 10/1/2020
B
District of Columbia 5/3/2017
B
Michigan 11/8/2019
B
Florida 5/1/2017
B
New York 8/6/2019
B
Idaho 2/10/2025
B
North Carolina 11/8/2019
B
Illinois 7/6/2021
B
South Carolina 8/18/2017
B
Maine 7/15/2021
B
Virginia 4/7/2017
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 4/7/2017
B
Registered with this firm since 4/7/2017
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/18/2016 - 04/18/2017 | CHEVY CHASE, MD | |
B | 04/20/2005 - 04/18/2017 | CHEVY CHASE, MD | |
IA | 04/20/2005 - 12/31/2016 | CHEVY CHASE, MD | |
IA | 06/28/2004 - 03/30/2005 | ROCKVILLE, MD | |
B | 06/17/2004 - 03/30/2005 | NEW YORK, NY | |
B | 03/04/2004 - 06/25/2004 | LINCOLN, NE | |
B | 07/20/2001 - 03/05/2004 | NEW YORK, NY | |
B | 08/13/1998 - 12/17/2000 | MINNEAPOLIS, MN | |
B | 08/13/1998 - 09/08/1999 | MINNEAPOLIS, MN |
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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.