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Detailed Report
Registration History
1970197519801985199019952000200520102015202020252 FIRMS2006 - 2007 (<1 year)2 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - Present (15 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1982 - 2006 (24 years)BE. F. HUTTON & COMPANY INC (CRD# 235)1970 - 1981 (11 years)IAMERRILL LYNCH PIERCE FENNER & ... (CRD# 7691)2005 - 2006 (1 year)IAMERRILL LYNCH PIERCE FENNER & ... (CRD# 7691)1986 - 2005 (18 years)
Disclosure(s)
View By:
10/9/2007
Customer Dispute
Settled
9/12/2007
Customer Dispute
Settled
7/17/2006
Employment Separation After Allegations
2/21/2001
Customer Dispute
Settled
6/26/1998
Customer Dispute
Closed-No Action
License(s)

State Registrations

B
Arizona 8/11/2016
B
Nevada 12/16/2024
B
California 6/1/2009
B
New Jersey 6/1/2009
B
Colorado 6/1/2009
IA
New Jersey 6/1/2009
B
Connecticut 6/1/2009
B
New Mexico 8/21/2014
B
Delaware 5/23/2016
B
New York 6/1/2009
B
District of Columbia 4/24/2018
B
North Carolina 6/1/2009
B
Florida 6/1/2009
B
Ohio 1/31/2019
IA
Florida 6/1/2009
B
Pennsylvania 6/1/2009
B
Georgia 6/1/2009
B
Puerto Rico 9/19/2023
B
Illinois 6/1/2009
B
Rhode Island 2/2/2015
B
Indiana 6/1/2009
B
South Carolina 6/1/2009
B
Kentucky 8/25/2014
B
Tennessee 7/13/2023
B
Louisiana 6/1/2009
B
Utah 2/24/2015
B
Maryland 6/1/2009
B
Virginia 1/7/2020
B
Massachusetts 6/1/2009
B
Washington 6/1/2009
B
Michigan 9/7/2016

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)
BOCA RATON, FL
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
BOCA RATON, FL
Registered with this firm since 6/1/2009
Previous Registration(s)
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IA
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) FAIRFIELD, NJ
B
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) FAIRFIELD, NJ
IA
 08/03/2006 - 04/02/2007 MORGAN STANLEY (CRD#:7556) FAIRFIELD, NJ
B
 08/03/2006 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) FAIRFIELD, NJ
IA
 03/29/2005 - 08/01/2006 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) BOCA RATON, FL
B
 04/16/1982 - 08/01/2006 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) BOCA RATON, FL
IA
 02/25/1986 - 01/18/2005 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) BOCA RATON, FL
B
 07/30/1970 - 11/06/1981 E. F. HUTTON & COMPANY INC (CRD#:235)
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.