Individual Firm
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KINGMAN K LOWE
CRD#: 3092633
IA
B
MORGAN STANLEYCRD#: 149777 4309 Hacienda Drive
Suite 200
Pleasanton, CA 94588
Suite 200
Pleasanton, CA 94588
View By:
9/22/2006
Customer Dispute
Denied
State Registrations
B
Alabama 7/17/2023
B
Mississippi 11/20/2023
B
Arizona 6/1/2009
B
Missouri 7/17/2023
B
Arkansas 7/17/2023
B
Nevada 6/1/2009
B
California 6/1/2009
B
New Jersey 7/18/2016
IA
California 6/1/2009
B
New Mexico 7/17/2023
B
Colorado 8/10/2017
B
New York 7/18/2016
B
Connecticut 9/6/2023
B
North Carolina 1/2/2018
B
District of Columbia 7/17/2023
B
Ohio 6/17/2014
B
Florida 6/1/2009
B
Oklahoma 9/2/2021
B
Georgia 7/17/2023
B
Oregon 6/1/2009
B
Hawaii 6/1/2009
B
Pennsylvania 2/3/2022
B
Idaho 8/20/2012
B
Rhode Island 10/25/2024
B
Illinois 7/17/2023
B
South Carolina 4/17/2023
B
Indiana 8/12/2019
B
Tennessee 8/26/2021
B
Kansas 1/16/2024
B
Texas 7/9/2021
B
Louisiana 7/17/2023
IA
Texas 7/23/2021
B
Maine 1/9/2020
B
Utah 4/14/2021
B
Maryland 7/17/2023
B
Vermont 4/17/2017
B
Massachusetts 1/26/2012
B
Virginia 1/13/2015
B
Michigan 7/17/2023
B
Washington 6/1/2009
B
Minnesota 3/10/2023
B
Wisconsin 4/2/2020
SRO Registrations
B
B
B
B
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Learn about permitted activities of registered representatives
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IA
Registered with this firm since 6/1/2009
B
Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/02/2007 - 06/01/2009 | PLEASANTON, CA | |
B | 04/02/2007 - 06/01/2009 | PLEASANTON, CA | |
IA | 05/13/1999 - 04/02/2007 | PLEASANTON, CA | |
B | 07/24/1998 - 04/02/2007 | PLEASANTON, CA |
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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.