Individual Firm
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FLOYD ALFORD ROBINSON
CRD#: 401589
IA
B
MORGAN STANLEYCRD#: 149777 Brenham, TX
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10/23/1975
Judgment / Lien
State Registrations
B
California 6/1/2009
B
Ohio 6/14/2018
B
Florida 6/1/2009
B
Oklahoma 3/1/2017
B
Georgia 6/1/2009
B
South Carolina 4/21/2020
B
Illinois 2/2/2016
B
Texas 6/1/2009
B
Kansas 3/9/2017
IA
Texas 6/1/2009
B
Kentucky 2/5/2020
B
Utah 11/19/2019
B
Louisiana 6/1/2009
B
Virginia 11/7/2018
B
Missouri 6/10/2021
B
Washington 6/1/2009
B
New York 6/1/2009
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/31/1995 - 06/01/2009 | HOUSTON, TX | |
B | 07/31/1993 - 06/01/2009 | HOUSTON, TX | |
B | 06/25/1979 - 07/31/1993 | NEW YORK, NY | |
B | 01/18/1978 - 06/25/1979 | ||
B | 05/05/1977 - 01/18/1978 | ||
B | 09/13/1976 - 05/05/1977 | ||
B | 05/09/1972 - 10/10/1976 | ||
B | 08/14/1968 - 06/14/1972 |
05/05/1977 - 01/18/1978
09/13/1976 - 05/05/1977
05/09/1972 - 10/10/1976
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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.