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DAVID C VOLPE JR
DAVID CHARLES VOLPE JR, DAVID CHARLES VOLPE JR, DAVID C VOLPE JR. JR, DAVID CHARLES VOLPE, JR.
CRD#: 4220889
IA
B
MORGAN STANLEYCRD#: 149777 12 Coogan Blvd.
Suite 201
MYSTIC, CT 06355
Suite 201
MYSTIC, CT 06355
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10/7/2008
Customer Dispute
Withdrawn
2/10/1993
Criminal
Final Disposition
State Registrations
B
Alabama 5/25/2017
B
New Hampshire 8/8/2011
B
Arizona 8/11/2011
B
New Jersey 3/13/2014
B
Arkansas 12/8/2020
B
New York 8/23/2012
B
California 6/1/2009
B
North Carolina 6/1/2009
B
Colorado 9/23/2014
B
Ohio 11/5/2023
B
Connecticut 6/1/2009
B
Oklahoma 3/30/2021
IA
Connecticut 6/1/2009
B
Oregon 1/10/2018
B
Delaware 1/14/2022
B
Pennsylvania 6/1/2009
B
Florida 6/1/2009
B
Rhode Island 6/1/2009
B
Georgia 7/28/2011
B
South Carolina 6/10/2020
B
Hawaii 8/5/2013
B
Tennessee 7/18/2024
B
Illinois 4/6/2021
B
Texas 3/2/2016
B
Louisiana 1/9/2023
IA
Texas 4/8/2020
B
Maryland 6/30/2020
B
Vermont 4/8/2025
B
Massachusetts 6/1/2009
B
Virginia 6/5/2015
B
Michigan 6/27/2011
B
Washington 1/12/2018
B
Mississippi 6/1/2009
B
Wisconsin 6/1/2009
B
Nevada 1/22/2019
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 6/1/2009
B
Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/24/2007 - 06/01/2009 | MYSTIC, CT | |
B | 08/24/2007 - 06/01/2009 | MYSTIC, CT | |
IA | 11/24/2000 - 08/29/2007 | HARTFORD, CT | |
B | 08/10/2000 - 08/29/2007 | HARTFORD, CT |
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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.