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ROEI R GIGI
CRD#: 4191786
IA
B
MORGAN STANLEYCRD#: 149777 1200 Franklin Avenue
2Nd Floor
Garden City, NY 11530
2Nd Floor
Garden City, NY 11530
View By:
5/27/2022
Customer Dispute
Denied
8/23/2002
Customer Dispute
Settled
State Registrations
B
Alabama 12/15/2022
B
Nevada 12/14/2022
B
Alaska 12/14/2022
B
New Hampshire 12/14/2022
B
Arizona 12/14/2022
B
New Jersey 12/14/2022
B
Arkansas 12/14/2022
B
New Mexico 12/14/2022
B
California 12/14/2022
B
New York 11/18/2022
B
Colorado 12/14/2022
IA
New York 11/18/2022
B
Connecticut 12/14/2022
B
North Carolina 12/14/2022
B
Delaware 12/14/2022
B
North Dakota 12/14/2022
B
District of Columbia 12/14/2022
B
Ohio 12/14/2022
B
Florida 12/14/2022
B
Oklahoma 12/14/2022
IA
Florida 9/3/2024
B
Oregon 12/14/2022
B
Georgia 12/14/2022
B
Pennsylvania 12/14/2022
B
Idaho 12/14/2022
B
Puerto Rico 12/14/2022
B
Illinois 12/16/2022
B
Rhode Island 12/14/2022
B
Indiana 12/14/2022
B
South Carolina 12/14/2022
B
Iowa 12/14/2022
B
South Dakota 12/14/2022
B
Kansas 12/14/2022
B
Tennessee 12/14/2022
B
Kentucky 12/14/2022
B
Texas 12/14/2022
B
Louisiana 12/14/2022
IA
Texas 12/14/2022
B
Maine 12/14/2022
B
Utah 12/14/2022
B
Maryland 12/14/2022
B
Vermont 12/14/2022
B
Massachusetts 12/14/2022
B
Virgin Islands 12/14/2022
B
Michigan 12/14/2022
B
Virginia 12/14/2022
B
Minnesota 12/14/2022
B
Washington 12/14/2022
B
Mississippi 12/14/2022
B
West Virginia 12/14/2022
B
Missouri 12/14/2022
B
Wisconsin 12/20/2022
B
Montana 12/14/2022
B
Wyoming 12/14/2022
B
Nebraska 12/14/2022
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 11/18/2022
B
Registered with this firm since 11/18/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/01/2013 - 11/22/2022 | GREAT NECK, NY | |
B | 08/25/2000 - 11/22/2022 | GREAT NECK, NY |
GREAT NECK, NY
03/01/2013 - 11/22/2022
GREAT NECK, NY
08/25/2000 - 11/22/2022
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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.
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