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Detailed Report
Renee Jean Gauthier
REWEE JEAN GAUTHIER, Renee J Gauthier, Renee JEAN Gauthier
CRD#: 4168273
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 Cumming, GA
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2002 - 2004 (2 years)2 FIRMS2004 - 2005 (1 year)2 FIRMS2005 - 2009 (3 years)2 FIRMS2009 - 2017 (7 years)2 FIRMS2023 - 2023 (<1 year)2 FIRMS2017 - Present (7 years)
License(s)

State Registrations

B
Alabama 10/3/2017
B
Montana 10/3/2017
B
Alaska 10/3/2017
B
Nebraska 10/3/2017
B
Arizona 10/3/2017
B
Nevada 10/3/2017
B
Arkansas 10/3/2017
B
New Hampshire 10/3/2017
B
California 10/3/2017
B
New Jersey 10/3/2017
B
Colorado 10/3/2017
B
New Mexico 10/3/2017
B
Connecticut 10/3/2017
B
New York 10/3/2017
B
Delaware 10/3/2017
B
North Carolina 10/3/2017
B
District of Columbia 10/3/2017
B
North Dakota 10/3/2017
B
Florida 10/3/2017
B
Ohio 10/3/2017
IA
Florida 10/4/2017
B
Oklahoma 10/3/2017
B
Georgia 10/3/2017
B
Oregon 10/3/2017
IA
Georgia 7/5/2024
B
Pennsylvania 10/3/2017
B
Hawaii 10/3/2017
B
Puerto Rico 10/3/2017
B
Idaho 10/3/2017
B
Rhode Island 10/3/2017
B
Illinois 10/3/2017
B
South Carolina 10/3/2017
B
Indiana 10/3/2017
B
South Dakota 10/3/2017
B
Iowa 10/3/2017
B
Tennessee 10/3/2017
B
Kansas 10/3/2017
B
Texas 10/3/2017
B
Kentucky 10/3/2017
IA
Texas 10/6/2017
B
Louisiana 10/3/2017
B
Utah 10/3/2017
B
Maine 10/3/2017
B
Vermont 10/3/2017
B
Maryland 10/3/2017
B
Virgin Islands 10/3/2017
B
Massachusetts 10/3/2017
B
Virginia 10/3/2017
B
Michigan 10/3/2017
B
Washington 10/3/2017
B
Minnesota 10/3/2017
B
West Virginia 10/3/2017
B
Mississippi 10/3/2017
B
Wisconsin 10/3/2017
B
Missouri 10/3/2017
B
Wyoming 10/3/2017

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)
Cumming, GA
3 Edison Drive, Alpharetta, GA 30005
Registered with this firm since 10/4/2017
B
MORGAN STANLEY (CRD#:149777)
Cumming, GA
3 Edison Drive, Alpharetta, GA 30005
Registered with this firm since 10/3/2017
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/20/2023 - 09/05/2023 E*TRADE CAPITAL MANAGEMENT, LLC (CRD#:42159) ARLINGTON, VA
B
 04/05/2023 - 09/05/2023 E*TRADE SECURITIES LLC (CRD#:29106) Temple Terrace, FL
IA
 10/23/2009 - 09/01/2017 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) LINCOLN, RI
B
 10/23/2009 - 09/01/2017 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PORTLAND, ME
IA
 12/21/2005 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) LINCOLN, RI
B
 12/21/2005 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) LINCOLN, RI
IA
 10/20/2004 - 12/21/2005 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) LINCOLN, RI
B
 10/20/2004 - 12/21/2005 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) LINCOLN, RI
IA
 09/09/2002 - 10/20/2004 QUICK & REILLY, INC. (CRD#:11217) WALTHAM, MA
B
 01/01/2002 - 10/20/2004 QUICK & REILLY, INC. (CRD#:11217) NEW YORK, 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.