Individual Firm
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JEREMY CRAIG MAULDIN
JC CRAIG MAULDIN
CRD#: 4019121
IA
B
MORGAN STANLEYCRD#: 149777 2400 Lakeview Parkway Suite 300
Alpharetta, GA 30009
Alpharetta, GA 30009
View By:
8/8/2002
Customer Dispute
Denied
State Registrations
B
Alabama 6/1/2009
B
Maryland 6/6/2016
B
Arizona 8/30/2011
B
Massachusetts 5/3/2021
B
Arkansas 2/28/2025
B
Michigan 3/26/2024
B
California 6/1/2009
B
Nevada 1/26/2012
B
Colorado 6/1/2009
B
New Jersey 6/1/2009
B
Connecticut 1/31/2022
B
New York 10/10/2013
B
Delaware 8/4/2015
B
North Carolina 6/1/2009
B
District of Columbia 9/11/2018
B
Ohio 2/7/2025
B
Florida 6/1/2009
B
Oklahoma 1/10/2024
B
Georgia 6/1/2009
B
Rhode Island 6/1/2009
IA
Georgia 6/1/2009
B
South Carolina 6/1/2009
B
Illinois 6/1/2009
B
Tennessee 2/9/2011
B
Indiana 10/22/2019
B
Texas 10/28/2013
B
Iowa 7/27/2022
IA
Texas 2/11/2014
B
Kansas 7/27/2022
B
Virginia 6/1/2009
B
Kentucky 8/30/2023
B
Wyoming 3/3/2023
SRO Registrations
B
B
B
B
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Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
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 | 02/21/2006 - 06/01/2009 | ALPHARETTA, GA | |
B | 02/21/2006 - 06/01/2009 | ALPHARETTA, GA | |
IA | 01/17/2003 - 02/21/2006 | ATLANTA, GA | |
B | 03/02/2001 - 02/21/2006 | BALTIMORE, MD | |
B | 11/11/1999 - 03/23/2001 | 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.
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.