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Detailed Report
KISHOR KUMAR
CRD#: 3182642
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 15 Independence Boulevard
1st Floor
Warren, NJ 07059
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS1999 - 2000 (1 year)2 FIRMS2003 - 2015 (11 years)2 FIRMS2015 - Present (10 years)BPRUCO SECURITIES CORPORATION (CRD# 5685)2003 - 2003 (<1 year)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2000 - 2003 (2 years)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2002 - 2003 (1 year)
Disclosure(s)
View By:
1/8/2009
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 12/19/2016
B
New York 2/6/2015
B
Arizona 4/4/2019
B
North Carolina 12/20/2016
B
California 2/6/2015
B
Pennsylvania 2/6/2015
B
Colorado 4/23/2020
B
Texas 2/6/2015
B
Connecticut 2/6/2015
IA
Texas 2/6/2015
B
Florida 5/1/2015
B
Virginia 2/6/2015
B
New Jersey 2/6/2015
B
Wyoming 11/8/2021
IA
New Jersey 2/6/2015

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)
15 Independence Boulevard 1st Floor, Warren, NJ 07059
Registered with this firm since 2/6/2015
B
MORGAN STANLEY (CRD#:149777)
15 Independence Boulevard 1st Floor, Warren, NJ 07059
Registered with this firm since 2/6/2015
Previous Registration(s)
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IA
 11/21/2003 - 02/09/2015 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) BRIDGEWATER, NJ
B
 11/13/2003 - 02/09/2015 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) BRIDGEWATER, NJ
B
 06/18/2003 - 11/20/2003 PRUCO SECURITIES CORPORATION (CRD#:5685) NEWARK, NJ
IA
 04/05/2002 - 06/27/2003 UBS FINANCIAL SERVICES INC. (CRD#:8174) EDISON, NJ
B
 08/18/2000 - 06/27/2003 UBS FINANCIAL SERVICES INC. (CRD#:8174) WEEHAWKEN, NJ
B
 05/21/1999 - 06/22/2000 METLIFE SECURITIES INC. (CRD#:14251) SPRINGFIELD, MA
B
 05/21/1999 - 06/22/2000 METROPOLITAN LIFE INSURANCE COMPANY (CRD#:4095) NEW YORK, NY
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.