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Detailed Report
SHARON MARIE VANDENBROEK
SHARON MARIE SHAFFER
CRD#: 419606
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 55 South Lake Avenue Pasadena Towers - Tower II
Suite 700
Pasadena, CA 91101
Registration History
19751980198519901995200020052010201520202025IAMORGAN STANLEY (CRD# 149777)2011 - Present (13 years)BMORGAN STANLEY (CRD# 149777)2009 - Present (15 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2004 - 2009 (4 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2000 - 2004 (3 years)BSALOMON SMITH BARNEY INC. (CRD# 7059)1996 - 2000 (4 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1978 - 1988 (9 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 572)1973 - 1978 (5 years)
License(s)

State Registrations

B
Alabama 1/23/2015
B
Montana 12/17/2014
B
Arizona 1/4/2011
B
Nebraska 12/19/2014
B
Arkansas 12/18/2018
B
Nevada 5/8/2013
B
California 6/1/2009
B
New Hampshire 12/19/2014
IA
California 5/10/2021
B
New Jersey 12/19/2014
B
Colorado 8/28/2013
B
New Mexico 1/4/2011
B
Connecticut 12/18/2018
B
New York 1/4/2011
B
Delaware 4/26/2017
B
North Carolina 12/19/2014
B
District of Columbia 12/17/2014
B
North Dakota 12/18/2018
B
Florida 5/17/2013
B
Ohio 1/8/2015
B
Georgia 12/19/2014
B
Oregon 1/4/2011
B
Hawaii 12/18/2014
B
Pennsylvania 12/8/2011
B
Idaho 12/17/2014
B
Rhode Island 11/11/2021
B
Illinois 1/4/2011
B
South Carolina 1/4/2011
B
Indiana 1/7/2015
B
South Dakota 11/11/2021
B
Iowa 12/19/2014
B
Tennessee 12/19/2014
B
Kansas 12/18/2014
B
Texas 1/4/2011
B
Kentucky 12/19/2014
IA
Texas 6/28/2011
B
Maine 12/3/2015
B
Utah 1/7/2015
B
Maryland 12/17/2014
B
Vermont 5/16/2024
B
Massachusetts 12/19/2014
B
Virginia 11/14/2016
B
Michigan 1/4/2011
B
Washington 2/20/2013
B
Minnesota 6/6/2017
B
Wisconsin 11/14/2016
B
Missouri 12/17/2014
B
Wyoming 1/28/2022

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)
55 South Lake Avenue Pasadena Towers - Tower II Suite 700, Pasadena, CA 91101
Registered with this firm since 6/28/2011
B
MORGAN STANLEY (CRD#:149777)
55 South Lake Avenue Pasadena Towers - Tower II Suite 700, Pasadena, CA 91101
Registered with this firm since 6/1/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 10/04/2004 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) PASADENA, CA
B
 11/09/2000 - 10/04/2004 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
 01/11/1996 - 09/29/2000 SALOMON SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
B
 09/26/1978 - 03/25/1988 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
B
 09/19/1973 - 09/26/1978 MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. (CRD#:572)
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.