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MARY DORSEY-EVANS
MARY DORSEY, MARY DORSEYEVANS
CRD#: 4054198
IA
B
MORGAN STANLEYCRD#: 149777 1111 Prospect Street
La Jolla, CA 92037
La Jolla, CA 92037
0
Disclosures
23
Years of Experience
View By:
State Registrations
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Alabama 11/8/2022
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Nebraska 11/8/2022
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Alaska 11/8/2022
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Nevada 7/8/2011
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Arizona 1/4/2011
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New Hampshire 11/8/2022
B
Arkansas 6/21/2022
B
New Jersey 2/11/2019
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California 6/1/2009
B
New Mexico 7/8/2011
IA
California 6/1/2009
B
New York 8/16/2011
B
Colorado 8/1/2012
B
North Carolina 7/8/2011
B
Connecticut 2/19/2019
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North Dakota 3/13/2020
B
Delaware 8/2/2012
B
Ohio 7/8/2011
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District of Columbia 3/27/2019
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Oklahoma 7/8/2011
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Florida 1/4/2011
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Oregon 7/8/2011
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Georgia 1/4/2011
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Pennsylvania 7/14/2014
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Hawaii 7/14/2014
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Puerto Rico 11/8/2022
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Idaho 1/4/2011
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Rhode Island 7/14/2014
B
Illinois 1/4/2011
B
South Carolina 5/24/2016
B
Indiana 7/8/2011
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South Dakota 7/8/2011
B
Iowa 1/31/2019
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Tennessee 12/11/2018
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Kansas 11/8/2022
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Texas 7/8/2011
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Kentucky 11/20/2019
IA
Texas 7/8/2011
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Louisiana 7/27/2011
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Utah 7/8/2011
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Maine 7/8/2011
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Vermont 1/14/2025
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Maryland 11/20/2019
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Virgin Islands 11/8/2022
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Massachusetts 7/8/2011
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Virginia 8/4/2016
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Michigan 7/27/2011
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Washington 7/8/2011
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Minnesota 3/25/2018
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West Virginia 4/3/2019
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Mississippi 11/8/2022
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Wisconsin 7/8/2011
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Missouri 9/15/2014
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Wyoming 3/16/2017
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Montana 8/16/2011
SRO Registrations
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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 | LA JOLLA, CA | |
B | 04/02/2007 - 06/01/2009 | LA JOLLA, CA | |
IA | 03/13/2003 - 04/02/2007 | LAJOLLA, CA | |
B | 07/09/2001 - 04/02/2007 | LAJOLLA, CA |
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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.