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Detailed Report
DAVID HUM
CRD#: 4162560
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 7175 North Pima Canyon Drive
Tucson, AZ 85718
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2008 - 2009 (<1 year)2 FIRMS2009 - Present (15 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2000 - 2008 (8 years)
License(s)

State Registrations

B
Arizona 6/1/2009
B
New Jersey 6/1/2009
B
California 6/1/2009
B
New Mexico 6/1/2009
IA
California 6/1/2009
B
New York 6/1/2009
B
Colorado 1/11/2012
B
North Carolina 7/10/2014
B
Florida 6/1/2009
B
Oregon 6/1/2009
B
Georgia 6/1/2009
B
South Carolina 1/5/2017
B
Idaho 6/1/2009
B
Tennessee 6/1/2009
B
Illinois 6/1/2009
B
Texas 6/1/2009
B
Michigan 6/1/2009
IA
Texas 6/1/2009
B
Minnesota 6/1/2009
B
Washington 8/31/2018

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)
7175 North Pima Canyon Drive, Tucson, AZ 85718
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
7175 North Pima Canyon Drive, Tucson, AZ 85718
Registered with this firm since 6/1/2009
Previous Registration(s)
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IA
 09/08/2008 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) TUCSON, AZ
B
 08/13/2008 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) TUCSON, AZ
B
 05/30/2000 - 08/25/2008 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) TUCSON, AZ
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.