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REBECCA DIANE DORTON
Becky Dorton, REBECCA DIANE HASTINGS
CRD#: 4017268
IA
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MORGAN STANLEYCRD#: 149777 7755 Montgomery Road
2Nd Floor
Cincinnati, OH 45236
2Nd Floor
Cincinnati, OH 45236
0
Disclosures
21
Years of Experience
View By:
State Registrations
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Alabama 6/13/2013
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Nevada 6/13/2013
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Arizona 3/3/2020
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New Jersey 11/7/2022
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Arkansas 7/6/2015
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New York 6/13/2013
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California 6/13/2013
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North Carolina 3/3/2020
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Colorado 6/13/2013
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Ohio 10/9/2012
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District of Columbia 3/3/2020
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Ohio 10/9/2012
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Florida 3/3/2020
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Pennsylvania 10/5/2012
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Georgia 1/10/2019
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South Carolina 3/3/2020
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Illinois 3/3/2020
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Tennessee 8/26/2021
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Indiana 6/13/2013
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Texas 6/13/2013
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Kentucky 3/3/2020
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Texas 8/8/2018
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Maryland 6/8/2021
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Virginia 3/3/2020
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Massachusetts 2/4/2022
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Washington 6/13/2013
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Michigan 6/13/2013
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West Virginia 9/22/2021
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Missouri 6/10/2021
SRO Registrations
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View Exams Passed by the individual in the detailed report
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Registered with this firm since 10/9/2012
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Registered with this firm since 10/5/2012
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/01/2009 - 06/20/2011 | CINCINNATI, OH | |
B | 06/01/2009 - 06/20/2011 | CINCINNATI, OH | |
IA | 02/01/2006 - 06/01/2009 | CINCINNATI, OH | |
B | 02/14/2003 - 06/01/2009 | CINCINNATI, OH | |
B | 11/20/2001 - 01/09/2003 | NEW YORK, NY |
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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.
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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.