Individual Firm
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THOMAS EDWARD WETZLER
TOM WETZLER
CRD#: 3101431
IA
B
MORGAN STANLEYCRD#: 149777 1201 Wills Street
Suite 700
Baltimore, MD 21231
Suite 700
Baltimore, MD 21231
View By:
8/25/2014
Customer Dispute
Settled
State Registrations
B
Arizona 8/5/2021
B
Nevada 10/4/2023
B
California 4/16/2021
B
New Hampshire 6/11/2021
B
Colorado 7/9/2021
B
New Jersey 6/1/2009
B
Connecticut 7/9/2021
B
New York 6/1/2009
B
Delaware 6/1/2009
B
North Carolina 7/9/2021
B
District of Columbia 6/1/2009
B
Ohio 7/26/2017
B
Florida 6/1/2009
B
Oregon 7/13/2021
B
Georgia 10/27/2015
B
Pennsylvania 6/1/2009
B
Hawaii 4/5/2024
B
South Carolina 6/1/2009
B
Illinois 9/7/2021
B
Tennessee 9/13/2024
B
Maine 5/28/2020
B
Texas 3/22/2018
B
Maryland 6/1/2009
IA
Texas 4/15/2020
IA
Maryland 6/1/2009
B
Utah 11/29/2023
B
Massachusetts 6/1/2009
B
Virginia 6/1/2009
B
Michigan 7/13/2021
B
Washington 9/27/2017
SRO Registrations
B
B
B
B
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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 | 11/07/2008 - 06/01/2009 | BALTIMORE, MD | |
B | 11/07/2008 - 06/01/2009 | BALTIMORE, MD | |
IA | 10/27/1998 - 11/12/2008 | BALTIMORE, MD | |
B | 09/10/1998 - 11/12/2008 | BALTIMORE, MD |
BALTIMORE, MD
10/27/1998 - 11/12/2008
BALTIMORE, MD
09/10/1998 - 11/12/2008
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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.