Individual Firm
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ERIK JOEL ZWILLING
CRD#: 4208417
IA
B
MORGAN STANLEYCRD#: 149777 545 Metro Place South
Suite 300
Dublin, OH 43017
Suite 300
Dublin, OH 43017
View By:
11/8/2022
Customer Dispute
Denied
State Registrations
B
Arizona 4/23/2021
B
New Hampshire 4/23/2021
B
Delaware 10/8/2021
B
New York 5/18/2024
B
Florida 4/23/2021
B
North Carolina 4/23/2021
B
Georgia 4/23/2021
B
Ohio 4/23/2021
B
Illinois 7/27/2021
IA
Ohio 4/27/2021
B
Indiana 4/23/2021
B
South Carolina 4/23/2021
B
Kentucky 2/7/2023
B
Tennessee 4/23/2021
B
Maine 4/23/2021
B
West Virginia 4/23/2021
B
Massachusetts 4/23/2021
B
Wisconsin 11/10/2021
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 4/23/2021
B
Registered with this firm since 4/23/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/04/2011 - 04/27/2021 | COLUMBUS, OH | |
B | 09/30/2011 - 04/27/2021 | COLUMBUS, OH | |
IA | 06/28/2005 - 10/10/2011 | NEW ALBANY, OH | |
B | 06/24/2005 - 10/10/2011 | NEW ALBANY, OH | |
IA | 02/08/2001 - 06/29/2005 | DUBLIN, OH | |
B | 07/18/2000 - 06/29/2005 | NEW YORK, NY |
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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.