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Detailed Report
Registration History
197519801985199019952000200520102015202020252 FIRMS1994 - 2009 (15 years)2 FIRMS2009 - Present (15 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1984 - 1994 (9 years)BPAINEWEBBER INCORPORATED (CRD# 8174)1980 - 1984 (4 years)BPAINE, WEBBER, JACKSON & CURTI... (CRD# 640)1973 - 1980 (6 years)
Disclosure(s)
View By:
12/5/2001
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 9/27/2018
B
Nebraska 11/17/2023
B
Arizona 6/1/2009
B
Nevada 2/12/2019
B
Arkansas 3/5/2019
B
New Hampshire 12/11/2020
B
California 6/1/2009
B
New Jersey 6/1/2009
B
Colorado 6/1/2009
B
New Mexico 2/12/2019
B
Connecticut 9/27/2018
B
New York 9/27/2018
B
Delaware 10/3/2018
B
North Carolina 6/1/2009
B
District of Columbia 2/12/2019
B
North Dakota 12/11/2020
B
Florida 6/1/2009
B
Ohio 6/1/2009
B
Georgia 6/1/2009
IA
Ohio 6/1/2009
B
Hawaii 11/17/2023
B
Oklahoma 6/1/2009
B
Idaho 6/25/2019
B
Oregon 8/15/2019
B
Illinois 1/20/2011
B
Pennsylvania 9/27/2018
B
Indiana 7/17/2009
B
South Carolina 9/28/2018
B
Iowa 7/9/2019
B
South Dakota 9/22/2021
B
Kansas 1/9/2019
B
Tennessee 11/19/2019
B
Kentucky 9/28/2018
B
Texas 6/1/2009
B
Louisiana 1/9/2019
IA
Texas 2/9/2011
B
Maine 9/27/2018
B
Utah 12/11/2020
B
Maryland 9/27/2018
B
Virginia 6/1/2009
B
Massachusetts 9/27/2018
B
Washington 6/1/2009
B
Michigan 6/1/2009
B
West Virginia 9/28/2018
B
Minnesota 6/1/2009
B
Wisconsin 6/1/2009
B
Missouri 6/1/2009
B
Wyoming 2/12/2019
B
Montana 7/17/2019

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)
Houston, TX
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
Houston, TX
Registered with this firm since 6/1/2009
Previous Registration(s)
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IA
 07/14/1994 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) COLUMBUS, OH
B
 05/25/1994 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) COLUMBUS, OH
B
 11/01/1984 - 05/18/1994 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
 01/31/1980 - 11/07/1984 PAINEWEBBER INCORPORATED (CRD#:8174)
B
 08/17/1973 - 01/31/1980 PAINE, WEBBER, JACKSON & CURTIS INCORPORATED (CRD#:640)
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.