Individual Firm
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STEVEN LESLEY WALTER
CRD#: 3106632
IA
B
MORGAN STANLEYCRD#: 149777 4800 Meadows Road
Suite 400
Lake Oswego, OR 97035
Suite 400
Lake Oswego, OR 97035
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10/23/2008
Customer Dispute
Settled
9/21/2001
Customer Dispute
Award / Judgment
State Registrations
B
Arizona 6/1/2009
B
North Carolina 2/3/2020
B
California 6/1/2009
B
Ohio 1/23/2019
B
Colorado 6/1/2009
B
Oregon 6/1/2009
B
Florida 6/1/2009
IA
Oregon 6/1/2009
B
Georgia 6/1/2009
B
South Carolina 5/17/2018
B
Hawaii 6/1/2009
B
Texas 6/1/2009
B
Idaho 5/27/2010
IA
Texas 6/1/2009
B
Massachusetts 11/18/2021
B
Utah 1/13/2011
B
Michigan 8/16/2019
B
Virginia 3/5/2024
B
Minnesota 9/28/2009
B
Washington 6/1/2009
B
Montana 11/1/2023
B
Wisconsin 3/7/2024
B
Nevada 6/1/2009
B
Wyoming 2/19/2019
B
New York 6/1/2009
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 | 04/02/2007 - 06/01/2009 | LAKE OSWEGO, OR | |
B | 04/02/2007 - 06/01/2009 | LAKE OSWEGO, OR | |
IA | 04/23/2003 - 04/02/2007 | LAKE OSWEGO, OR | |
B | 09/23/1998 - 04/02/2007 | LAKE OSWEGO, OR |
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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.