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JOHN CHARLES AYERS III
JOHN C (III) AYERS
CRD#: 3231369
IA
B
MORGAN STANLEYCRD#: 149777 One Financial Plaza
Providence, RI 02903
Providence, RI 02903
0
Disclosures
25
Years of Experience
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State Registrations
B
California 6/1/2009
B
New Jersey 9/26/2012
B
Colorado 3/11/2016
B
New Mexico 1/28/2020
B
Connecticut 6/1/2009
B
New York 6/1/2009
B
District of Columbia 6/6/2024
B
North Carolina 1/24/2023
B
Florida 7/21/2010
B
Ohio 3/29/2024
B
Georgia 1/2/2014
B
Oregon 3/28/2024
B
Hawaii 1/9/2024
B
Rhode Island 6/1/2009
B
Maine 9/8/2010
IA
Rhode Island 6/1/2009
B
Maryland 10/17/2011
B
South Carolina 4/1/2024
B
Massachusetts 6/1/2009
B
Virginia 1/9/2024
B
New Hampshire 6/1/2009
B
Washington 1/9/2024
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 | 11/14/2008 - 06/01/2009 | PROVIDENCE, RI | |
B | 11/14/2008 - 06/01/2009 | PROVIDENCE, RI | |
IA | 10/08/1999 - 11/17/2008 | PROVIDENCE, RI | |
B | 07/01/1999 - 11/17/2008 | PROVIDENCE, RI |
PROVIDENCE, RI
10/08/1999 - 11/17/2008
PROVIDENCE, RI
07/01/1999 - 11/17/2008
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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.