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Detailed Report
MICHAEL M DARLEY
MICHAEL MATTHEW DARLEY, MIKE MATTHEW DARLEY
CRD#: 3177465
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 21250 Hawthorne Boulevard
Suite 650
Torrance, CA 90503
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2000 - 2005 (5 years)2 FIRMS2005 - 2009 (3 years)2 FIRMS2009 - Present (15 years)BFINANCIAL WEST GROUP (CRD# 16668)2000 - 2000 (<1 year)
Disclosure(s)
View By:
4/10/2008
Customer Dispute
Closed-No Action
5/13/1998
Criminal
Final Disposition
License(s)

State Registrations

B
Arizona 6/1/2009
B
Montana 12/21/2020
B
Arkansas 6/1/2009
B
Nebraska 1/7/2021
B
California 6/1/2009
B
Nevada 6/1/2009
IA
California 6/1/2009
B
New Hampshire 6/6/2024
B
Colorado 6/1/2009
B
New Jersey 2/27/2015
B
Connecticut 12/24/2020
B
New Mexico 6/1/2009
B
Delaware 1/19/2021
B
New York 9/25/2009
B
District of Columbia 1/6/2021
B
North Carolina 6/23/2020
B
Florida 6/1/2009
B
Ohio 6/10/2014
B
Georgia 1/13/2021
B
Oklahoma 1/16/2013
B
Hawaii 3/21/2017
B
Oregon 5/15/2012
B
Idaho 6/1/2009
B
Pennsylvania 11/12/2015
B
Illinois 6/1/2009
B
Rhode Island 10/8/2024
B
Iowa 11/17/2022
B
South Carolina 11/21/2023
B
Kansas 1/4/2021
B
South Dakota 9/16/2015
B
Kentucky 1/28/2022
B
Tennessee 4/17/2019
B
Louisiana 8/18/2017
B
Texas 6/1/2009
B
Maine 4/12/2022
IA
Texas 2/11/2014
B
Maryland 9/12/2024
B
Utah 2/5/2024
B
Massachusetts 1/6/2021
B
Virginia 6/1/2009
B
Michigan 11/18/2009
B
Washington 2/19/2010
B
Minnesota 9/15/2016
B
Wisconsin 1/4/2021
B
Mississippi 7/17/2017
B
Wyoming 11/4/2024
B
Missouri 3/26/2010

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MORGAN STANLEY (CRD#:149777)
21250 Hawthorne Boulevard Suite 650, Torrance, CA 90503
21650 Oxnard Street Suite 1800, Woodland Hills, CA 91367
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
21250 Hawthorne Boulevard Suite 650, Torrance, CA 90503
21650 Oxnard Street Suite 1800, Woodland Hills, CA 91367
Registered with this firm since 6/1/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 08/26/2005 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) WOODLAND HILLS, CA
B
 08/26/2005 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) WOODLAND HILLS, CA
IA
 09/25/2000 - 08/30/2005 MORGAN STANLEY (CRD#:7556) WOODLAND HLS, CA
B
 06/06/2000 - 08/30/2005 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
B
 04/14/2000 - 05/03/2000 FINANCIAL WEST GROUP (CRD#:16668)
FINRA expelled the firm on 02/13/2020
RENO, NV
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.