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Detailed Report
DAVID E MOTT
CRD#: 4170905
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 1201 Wills Street
Suite 700
Baltimore, MD 21231
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2009 - 2013 (3 years)2 FIRMS2013 - Present (11 years)BAMERIPRISE ADVISOR SERVICES, INC. (CRD# 5979)2000 - 2009 (9 years)IAAMERIPRISE ADVISOR SERVICES, INC. (CRD# 5979)2003 - 2009 (6 years)IARSM MCGLADREY, INC. (CRD# 111221)2003 - 2003 (<1 year)
License(s)

State Registrations

B
Alabama 6/21/2017
B
Nebraska 6/22/2017
B
Alaska 6/21/2017
B
Nevada 6/4/2014
B
Arizona 5/12/2016
B
New Hampshire 6/22/2017
B
Arkansas 6/21/2017
B
New Jersey 6/25/2013
B
California 6/21/2017
B
New Mexico 6/22/2017
B
Colorado 6/14/2013
B
New York 6/14/2013
B
Connecticut 6/21/2017
B
North Carolina 6/26/2017
B
Delaware 3/23/2015
B
North Dakota 6/22/2017
B
District of Columbia 6/21/2017
B
Ohio 6/23/2017
B
Florida 6/14/2013
B
Oklahoma 6/22/2017
B
Georgia 6/21/2017
B
Oregon 6/22/2017
B
Hawaii 6/21/2017
B
Pennsylvania 6/14/2013
B
Idaho 6/21/2017
B
Puerto Rico 6/22/2017
B
Illinois 12/9/2013
B
Rhode Island 6/22/2017
B
Indiana 6/21/2017
B
South Carolina 6/14/2013
B
Iowa 6/21/2017
B
South Dakota 6/22/2017
B
Kansas 6/21/2017
B
Tennessee 6/22/2017
B
Kentucky 6/21/2017
B
Texas 6/22/2017
B
Louisiana 6/21/2017
IA
Texas 4/15/2020
B
Maine 6/21/2017
B
Utah 6/22/2017
B
Maryland 6/14/2013
B
Vermont 6/22/2017
IA
Maryland 6/14/2013
B
Virgin Islands 6/22/2017
B
Massachusetts 6/22/2017
B
Virginia 6/14/2013
B
Michigan 6/22/2017
B
Washington 3/20/2014
B
Minnesota 6/22/2017
B
West Virginia 6/22/2017
B
Mississippi 6/22/2017
B
Wisconsin 6/22/2017
B
Missouri 6/22/2017
B
Wyoming 6/22/2017
B
Montana 6/22/2017

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)
1201 Wills Street Suite 700, Baltimore, MD 21231
Registered with this firm since 6/14/2013
B
MORGAN STANLEY (CRD#:149777)
1201 Wills Street Suite 700, Baltimore, MD 21231
Registered with this firm since 6/14/2013
Previous Registration(s)
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IA
 10/05/2009 - 07/02/2013 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) TIMONIUM, MD
B
 10/05/2009 - 07/02/2013 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) TIMONIUM, MD
IA
 07/08/2003 - 10/05/2009 AMERIPRISE ADVISOR SERVICES, INC. (CRD#:5979) TIMONIUM, MD
B
 05/01/2000 - 10/05/2009 AMERIPRISE ADVISOR SERVICES, INC. (CRD#:5979) TIMONIUM, MD
IA
 06/02/2003 - 12/02/2003 RSM MCGLADREY, INC. (CRD#:111221) LUTHERVILLE, MD
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.