Individual Firm
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BENNETT WILLIAM CALE
BENNETT W. CALE
CRD#: 3074179
IA
B
MORGAN STANLEYCRD#: 149777 555 California Street
35Th Floor
San Francisco, CA 94104
35Th Floor
San Francisco, CA 94104
0
Disclosures
24
Years of Experience
View By:
State Registrations
IA
California 11/6/2020
B
Maryland 11/19/2020
B
California 11/17/2020
B
Nevada 1/5/2021
B
Connecticut 2/2/2021
B
New Jersey 11/19/2020
B
Delaware 8/3/2023
B
New York 11/19/2020
B
Florida 11/19/2020
B
Oregon 11/19/2020
B
Georgia 5/13/2021
B
South Carolina 12/16/2024
IA
Hawaii 11/6/2020
B
Texas 8/1/2022
B
Hawaii 11/17/2020
IA
Texas 8/4/2022
B
Idaho 4/15/2021
B
Washington 11/19/2020
SRO Registrations
B
B
B
B
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B
Registered with this firm since 11/17/2020
IA
Registered with this firm since 11/6/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/02/2020 - 10/12/2021 | KULA, HI | |
IA | 01/31/2008 - 09/02/2020 | BEVERLY HILLS, CA | |
B | 05/24/2007 - 04/02/2008 | SHERMAN OAKS, CA | |
IA | 03/01/2007 - 04/01/2008 | SHERMAN OAKS, CA | |
B | 07/09/1998 - 06/15/2005 | SCOTTSDALE, AZ | |
IA | 10/16/1998 - 06/09/2005 | LOS ANGELES, CA | |
B | 09/03/1998 - 07/31/2002 | NEWARK, DE |
SHERMAN OAKS, CA
03/01/2007 - 04/01/2008
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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.