Individual Firm
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ROY DANIEL BUDD
ROY D BUDD
CRD#: 34635
IA
B
MORGAN STANLEYCRD#: 149777 150 Clove Road
Little Falls, NJ 07424
Little Falls, NJ 07424
View By:
11/8/2021
Customer Dispute
Settled
6/18/2001
Customer Dispute
Settled
State Registrations
B
Arizona 6/1/2009
IA
New Jersey 6/1/2009
B
California 6/1/2009
B
New York 6/1/2009
B
Colorado 7/22/2021
B
North Carolina 10/22/2013
B
Connecticut 2/2/2010
B
Ohio 6/5/2015
B
Florida 6/1/2009
B
Pennsylvania 6/1/2009
B
Illinois 3/9/2010
B
South Carolina 6/1/2009
B
Kentucky 6/1/2009
B
Vermont 1/12/2018
B
Maryland 12/8/2020
B
Virginia 6/1/2009
B
New Jersey 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 | 05/10/2002 - 06/01/2009 | LITTLE FALLS, NJ | |
B | 06/16/1980 - 06/01/2009 | LITTLE FALLS, NJ | |
B | 02/24/1978 - 07/16/1980 | ||
B | 06/20/1973 - 02/24/1978 |
06/20/1973 - 02/24/1978
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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.