Individual Firm
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GEORGE DIX PETERS
CRD#: 361010
IA
B
MORGAN STANLEYCRD#: 149777 7733 Forsyth Boulevard
Suite 2100
Clayton, MO 63105
Suite 2100
Clayton, MO 63105
0
Disclosures
54
Years of Experience
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State Registrations
B
Alabama 11/25/2019
B
Missouri 6/1/2009
B
California 6/1/2009
IA
Missouri 6/1/2009
B
Colorado 6/1/2009
B
New Hampshire 7/18/2012
B
Florida 6/1/2009
B
New York 6/1/2009
B
Georgia 2/13/2020
B
North Carolina 7/13/2021
B
Idaho 3/2/2020
B
Pennsylvania 6/1/2009
B
Illinois 6/1/2009
B
Texas 6/1/2009
B
Iowa 4/1/2022
IA
Texas 2/19/2020
B
Kansas 6/1/2009
B
Virginia 3/29/2019
B
Minnesota 2/15/2011
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 | 04/02/2007 - 06/01/2009 | ST. LOUIS, MO | |
B | 04/02/2007 - 06/01/2009 | ST. LOUIS, MO | |
IA | 05/11/2000 - 04/02/2007 | ST. LOUIS, MO | |
B | 02/24/1978 - 04/02/2007 | ST. LOUIS, MO | |
B | 04/11/1975 - 02/24/1978 | ||
B | 01/05/1971 - 05/14/1975 | ||
B | 07/24/1970 - 01/15/1971 |
04/11/1975 - 02/24/1978
01/05/1971 - 05/14/1975
07/24/1970 - 01/15/1971
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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.