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MICHAEL JOSEPH GANGUZZA
CRD#: 4229669
IA
B
MORGAN STANLEYCRD#: 149777 450 Essjay Road
Suite 100
Williamsville, NY 14221
Suite 100
Williamsville, NY 14221
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7/10/1999
Criminal
Final Disposition
7/10/1999
Criminal
Final Disposition
State Registrations
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Alabama 7/29/2022
B
Nevada 5/2/2018
B
Alaska 8/1/2022
B
New Hampshire 12/12/2022
B
Arizona 11/16/2022
B
New Jersey 12/11/2015
B
Arkansas 10/2/2019
B
New Mexico 10/3/2019
B
California 9/23/2016
B
New York 12/11/2015
B
Colorado 9/29/2017
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New York 6/16/2021
B
Connecticut 6/8/2017
B
North Carolina 10/4/2019
B
Delaware 10/16/2017
B
North Dakota 10/7/2019
B
District of Columbia 11/9/2022
B
Ohio 4/30/2018
B
Florida 12/11/2015
B
Oklahoma 11/30/2022
B
Georgia 8/23/2019
B
Oregon 10/27/2022
B
Hawaii 7/27/2022
B
Pennsylvania 9/23/2016
B
Idaho 3/20/2023
B
Puerto Rico 10/7/2019
B
Illinois 12/11/2015
B
Rhode Island 10/3/2019
B
Indiana 12/11/2015
B
South Carolina 7/31/2018
B
Iowa 9/15/2022
B
South Dakota 10/9/2019
B
Kansas 11/18/2022
B
Tennessee 11/22/2022
B
Kentucky 6/23/2022
B
Texas 9/27/2016
B
Louisiana 11/4/2022
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Texas 5/15/2020
B
Maine 8/5/2021
B
Utah 10/2/2019
B
Maryland 9/15/2020
B
Vermont 3/16/2023
B
Massachusetts 12/11/2015
B
Virgin Islands 10/17/2022
B
Michigan 1/5/2018
B
Virginia 9/15/2020
B
Minnesota 10/3/2019
B
Washington 5/7/2019
B
Mississippi 10/2/2019
B
West Virginia 11/28/2022
B
Missouri 10/17/2022
B
Wisconsin 10/2/2019
B
Montana 6/16/2021
B
Wyoming 11/21/2022
B
Nebraska 10/2/2019
SRO Registrations
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B
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IA
Registered with this firm since 5/15/2020
B
Registered with this firm since 12/11/2015
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/18/2014 - 12/22/2015 | ROCHESTER, NY | |
B | 02/26/2009 - 12/22/2015 | ROCHESTER, NY | |
B | 09/12/2003 - 03/19/2009 | ROCHESTER, NY | |
B | 08/09/2001 - 08/01/2003 | WHITE PLAINS, NY | |
B | 08/16/2000 - 11/10/2000 | NEWARK, NJ |
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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.
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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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