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Detailed Report
SHADI COURTNEY MULLIN
CRD#: 4141789
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 9665 Wilshire Boulevard
Suite 600
Beverly Hills, CA 90212
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2017 - Present (8 years)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2000 - 2017 (16 years)IAJ.P. MORGAN SECURITIES LLC (CRD# 79)2006 - 2017 (11 years)
License(s)

State Registrations

B
Arizona 1/11/2017
B
New Mexico 1/11/2017
B
California 1/11/2017
B
New York 1/11/2017
IA
California 1/12/2017
B
Ohio 1/11/2017
B
Colorado 1/11/2017
B
Oregon 4/15/2022
B
District of Columbia 1/11/2017
B
Pennsylvania 1/11/2017
B
Florida 4/15/2021
B
South Carolina 5/13/2022
B
Georgia 5/5/2022
B
Tennessee 8/18/2023
B
Idaho 1/11/2017
B
Texas 1/11/2017
B
Illinois 1/11/2017
IA
Texas 1/11/2017
B
Massachusetts 8/18/2023
B
Utah 2/9/2023
B
Minnesota 1/11/2017
B
Virginia 1/11/2017
B
Missouri 1/11/2017
B
Washington 1/11/2017
B
Nevada 1/8/2020
B
West Virginia 1/21/2025
B
New Jersey 1/11/2017
B
Wisconsin 1/11/2017

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)
9665 Wilshire Boulevard Suite 600, Beverly Hills, CA 90212
Registered with this firm since 1/11/2017
B
MORGAN STANLEY (CRD#:149777)
9665 Wilshire Boulevard Suite 600, Beverly Hills, CA 90212
Registered with this firm since 1/11/2017
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/04/2006 - 01/19/2017 J.P. MORGAN SECURITIES LLC (CRD#:79) LOS ANGELES, CA
B
 03/20/2000 - 01/19/2017 J.P. MORGAN SECURITIES LLC (CRD#:79) LOS ANGELES, CA
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.