Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
ANDREW PAUL THOMAS
CRD#: 4216382
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 100 Middle Street
3Rd Floor
Portland, ME 04101
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2009 - Present (15 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2000 - 2009 (8 years)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2005 - 2009 (3 years)
Disclosure(s)
View By:
12/12/2018
Financial
Final
License(s)

State Registrations

B
Arizona 12/21/2011
B
Nebraska 6/1/2009
B
Arkansas 12/22/2023
B
Nevada 3/24/2016
B
California 6/1/2009
B
New Hampshire 6/1/2009
B
Colorado 2/2/2012
B
New Jersey 3/14/2011
B
Connecticut 6/1/2009
B
New Mexico 8/23/2017
B
Delaware 6/12/2017
B
New York 6/1/2009
B
District of Columbia 2/29/2012
B
North Carolina 1/6/2012
B
Florida 6/1/2009
B
North Dakota 3/21/2011
B
Georgia 6/1/2009
B
Ohio 6/1/2009
B
Hawaii 4/30/2021
B
Oklahoma 10/24/2024
B
Idaho 3/21/2024
B
Pennsylvania 11/20/2013
B
Illinois 8/26/2021
B
Rhode Island 6/1/2009
B
Indiana 1/9/2020
B
South Carolina 6/11/2012
B
Iowa 7/30/2010
B
Texas 8/30/2023
B
Maine 6/1/2009
IA
Texas 9/1/2023
IA
Maine 6/1/2009
B
Utah 1/13/2021
B
Maryland 6/1/2009
B
Vermont 3/6/2019
B
Massachusetts 6/1/2009
B
Virginia 6/1/2009
B
Michigan 6/1/2009
B
Washington 4/4/2011
B
Minnesota 6/1/2009
B
Wisconsin 1/17/2020
B
Missouri 5/15/2024
B
Wyoming 10/19/2023
B
Montana 4/12/2019

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)
100 Middle Street 3Rd Floor, Portland, ME 04101
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
100 Middle Street 3Rd Floor, Portland, ME 04101
Registered with this firm since 6/1/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 12/14/2005 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) PORTLAND, ME
B
 07/21/2000 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) PORTLAND, ME
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.