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Detailed Report
JOHN PETER SOLIMAN
CRD#: 4149178
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 2000 Westchester Avenue
1NC
Purchase, NY 10577
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2007 - 2011 (3 years)2 FIRMS2011 - Present (13 years)BCITICORP INVESTMENT SERVICES (CRD# 23988)2000 - 2007 (7 years)IACITICORP INVESTMENT SERVICES (CRD# 23988)2004 - 2007 (2 years)
Disclosure(s)
View By:
9/2/2008
Customer Dispute
Denied
12/28/2007
Customer Dispute
Denied
11/1/2006
Customer Dispute
Settled
8/13/2002
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 4/15/2011
IA
New Jersey 4/28/2011
B
California 4/15/2011
B
New Mexico 7/11/2019
B
Colorado 5/24/2011
B
New York 4/15/2011
B
Connecticut 4/15/2011
IA
New York 6/16/2021
B
Delaware 4/15/2011
B
North Carolina 10/2/2014
B
Florida 4/15/2011
B
Ohio 4/27/2011
B
Georgia 4/15/2011
B
Pennsylvania 4/27/2011
B
Idaho 10/3/2023
B
South Carolina 4/15/2011
B
Illinois 7/14/2017
B
Tennessee 2/15/2018
B
Kansas 8/26/2024
B
Texas 5/14/2015
B
Kentucky 4/12/2021
IA
Texas 4/23/2020
B
Louisiana 11/21/2023
B
Utah 4/26/2021
B
Maine 4/15/2011
B
Vermont 4/15/2011
B
Maryland 4/15/2011
B
Virginia 4/27/2011
B
Massachusetts 4/27/2011
B
Wisconsin 11/20/2023
B
New Jersey 4/15/2011

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)
2000 Westchester Avenue 1NC, Purchase, NY 10577
Registered with this firm since 4/19/2011
B
MORGAN STANLEY (CRD#:149777)
2000 Westchester Avenue 1NC, Purchase, NY 10577
Registered with this firm since 4/15/2011
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 05/29/2007 - 04/27/2011 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) HASTINGS ON HUDSON, NY
B
 05/29/2007 - 04/27/2011 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) HASTINGS ON HUDSON, NY
IA
 12/06/2004 - 05/29/2007 CITICORP INVESTMENT SERVICES (CRD#:23988) HASTINGS-ON-HUDSON, NY
B
 04/19/2000 - 05/29/2007 CITICORP INVESTMENT SERVICES (CRD#:23988) HASTINGS-ON-HUDSON, NY
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.