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MICHAEL ALLEN SCHWARTZ
CRD#: 416383
IA
B
MORGAN STANLEYCRD#: 149777 340 Mount Kemble Avenue
Morristown, NJ 07960
Morristown, NJ 07960
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5/14/2010
Customer Dispute
Settled
State Registrations
B
Alabama 8/27/2018
B
New Jersey 6/1/2009
B
Arizona 6/1/2009
IA
New Jersey 6/1/2009
B
California 6/1/2009
B
New Mexico 10/24/2023
B
Colorado 6/1/2009
B
New York 6/1/2009
B
Connecticut 6/1/2009
IA
New York 6/16/2021
B
Delaware 6/1/2009
B
North Carolina 6/1/2009
B
District of Columbia 6/1/2009
B
Ohio 6/1/2009
B
Florida 6/1/2009
B
Oregon 6/1/2009
B
Georgia 6/1/2009
B
Pennsylvania 6/1/2009
B
Illinois 6/1/2009
B
Rhode Island 6/1/2009
B
Indiana 2/21/2018
B
South Carolina 6/1/2009
B
Louisiana 3/17/2017
B
Tennessee 6/10/2020
B
Maine 6/1/2009
B
Texas 6/1/2009
B
Maryland 6/1/2009
IA
Texas 4/2/2020
B
Massachusetts 6/1/2009
B
Utah 11/9/2015
B
Michigan 5/30/2017
B
Vermont 2/26/2018
B
Minnesota 6/1/2009
B
Virginia 6/1/2009
B
Missouri 2/6/2014
B
Washington 6/1/2009
B
Nevada 6/1/2009
B
Wisconsin 8/22/2019
B
New Hampshire 2/26/2018
B
Wyoming 8/28/2018
SRO Registrations
B
B
B
B
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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 | 05/08/2002 - 06/01/2009 | FLORHAM PARK, NJ | |
B | 07/31/1993 - 06/01/2009 | FLORHAM PARK, NJ | |
B | 09/17/1979 - 07/31/1993 | NEW YORK, NY | |
B | 01/18/1978 - 09/17/1979 | ||
B | 01/04/1977 - 01/18/1978 | ||
B | 10/06/1975 - 01/04/1977 | ||
B | 01/03/1967 - 11/15/1975 |
01/04/1977 - 01/18/1978
10/06/1975 - 01/04/1977
01/03/1967 - 11/15/1975
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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.