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Detailed Report
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2005 - 2007 (2 years)2 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - Present (15 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2000 - 2005 (4 years)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2001 - 2005 (4 years)
Disclosure(s)
View By:
2/27/2023
Customer Dispute
Pending
2/24/2022
Customer Dispute
Settled
5/20/2019
Customer Dispute
Denied
5/10/2018
Regulatory
Final
2/22/2016
Customer Dispute
Denied
12/24/2015
Customer Dispute
Denied
3/18/2005
Employment Separation After Allegations
License(s)

State Registrations

B
Arizona 10/20/2015
B
Minnesota 4/28/2010
B
California 6/1/2009
B
Nevada 8/24/2009
IA
California 6/1/2009
IA
Nevada 2/23/2024
B
Colorado 11/8/2013
B
New York 6/1/2009
B
Connecticut 11/3/2014
B
South Carolina 11/23/2021
B
Delaware 10/28/2014
B
Tennessee 10/5/2022
B
Florida 3/10/2014
B
Texas 9/13/2018
B
Georgia 1/15/2025
IA
Texas 3/11/2020
B
Illinois 6/24/2014
B
Washington 4/7/2021
B
Maryland 7/15/2011
B
Wisconsin 6/1/2009

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)
5390 Kietzke Lane Suite 200, Reno, NV 89511
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
5390 Kietzke Lane Suite 200, Reno, NV 89511
Registered with this firm since 6/1/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) LOS ANGELES, CA
B
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) LOS ANGELES, CA
IA
 03/18/2005 - 04/02/2007 MORGAN STANLEY (CRD#:7556) BEVERLY HILLS, CA
B
 03/18/2005 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) BEVERLY HILLS, CA
IA
 01/08/2001 - 04/15/2005 UBS FINANCIAL SERVICES INC. (CRD#:8174) CENTURY CITY, CA
B
 10/20/2000 - 04/15/2005 UBS FINANCIAL SERVICES INC. (CRD#:8174) WEEHAWKEN, NJ
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.