Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
KENNETH LAWRENCE MARGOLIN
CRD#: 319751
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 61 South Paramus Road
3Rd Floor
Paramus, NJ 07652
Registration History
1970197519801985199019952000200520102015202020252 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - Present (15 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)1992 - 2007 (14 years)BLEHMAN BROTHERS INC. (CRD# 7506)1988 - 1992 (4 years)BE. F. HUTTON & COMPANY INC (CRD# 235)1973 - 1988 (14 years)BPHILIPS, APPEL & WALDEN, INC. (CRD# 659)1969 - 1973 (4 years)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2002 - 2007 (4 years)
Disclosure(s)
View By:
12/4/2008
Customer Dispute
Settled
9/10/2001
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 11/2/2018
B
New Jersey 6/1/2009
B
California 10/30/2018
IA
New Jersey 6/1/2009
B
Colorado 10/31/2018
B
New Mexico 10/31/2018
B
Connecticut 6/1/2009
B
New York 6/1/2009
B
Delaware 11/2/2018
B
North Carolina 11/1/2018
B
District of Columbia 10/31/2018
B
Ohio 10/31/2018
B
Florida 6/1/2009
B
Oregon 10/31/2018
B
Illinois 10/31/2018
B
Pennsylvania 11/2/2018
B
Indiana 10/31/2018
B
South Carolina 4/27/2021
B
Louisiana 10/31/2018
B
Utah 4/27/2021
B
Maryland 11/5/2018
B
Vermont 10/31/2018
B
Massachusetts 10/31/2018
B
Virginia 10/31/2018
B
Minnesota 10/31/2018
B
Washington 10/30/2018
B
Nevada 11/8/2018

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)
61 South Paramus Road 3Rd Floor, Paramus, NJ 07652
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
61 South Paramus Road 3Rd Floor, Paramus, NJ 07652
Registered with this firm since 6/1/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 02/16/2007 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) PARAMUS, NJ
B
 02/16/2007 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) PARAMUS, NJ
IA
 06/12/2002 - 03/01/2007 UBS FINANCIAL SERVICES INC. (CRD#:8174) PARAMUS, NJ
B
 07/24/1992 - 03/01/2007 UBS FINANCIAL SERVICES INC. (CRD#:8174) PARAMUS, NJ
B
 02/15/1988 - 08/03/1992 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
 08/03/1973 - 02/15/1988 E. F. HUTTON & COMPANY INC (CRD#:235)
B
 03/11/1969 - 08/19/1973 PHILIPS, APPEL & WALDEN, INC. (CRD#:659)
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.