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JAMES E. FLOOD
CRD#: 4252893
IA
B
MORGAN STANLEYCRD#: 149777 58 South Service Road
Suite 400
Melville, NY 11747
Suite 400
Melville, NY 11747
0
Disclosures
24
Years of Experience
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State Registrations
B
Alabama 10/20/2021
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Montana 1/4/2022
B
Arizona 10/19/2021
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Nevada 4/5/2012
B
California 4/5/2012
B
New Hampshire 10/20/2021
B
Colorado 10/20/2021
B
New Jersey 4/5/2012
B
Connecticut 4/5/2012
B
New Mexico 1/4/2022
B
Delaware 7/25/2022
B
New York 4/5/2012
B
District of Columbia 10/20/2021
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New York 6/22/2021
B
Florida 4/5/2012
B
North Carolina 2/13/2015
B
Georgia 1/6/2015
B
Ohio 10/21/2021
B
Illinois 1/4/2022
B
Pennsylvania 3/8/2013
B
Indiana 3/21/2022
B
South Carolina 5/6/2014
B
Iowa 5/14/2024
B
Tennessee 1/16/2025
B
Kansas 1/4/2022
B
Texas 1/4/2022
B
Kentucky 4/5/2012
IA
Texas 1/24/2022
B
Maine 10/20/2021
B
Vermont 10/20/2021
B
Maryland 10/19/2021
B
Virginia 4/1/2021
B
Massachusetts 10/20/2021
B
Washington 10/20/2021
B
Michigan 5/21/2018
B
West Virginia 2/25/2022
B
Minnesota 10/20/2021
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Wisconsin 10/20/2021
B
Missouri 1/19/2022
SRO Registrations
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B
B
B
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IA
Registered with this firm since 6/22/2021
B
Registered with this firm since 4/5/2012
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/09/2012 - 12/31/2013 | PURCHASE, NY | |
IA | 11/15/2010 - 04/13/2012 | MELVILLE, NY | |
B | 11/05/2004 - 04/13/2012 | MELVILLE, NY | |
IA | 02/26/2007 - 12/31/2007 | MELVILLE, NY | |
B | 07/01/2003 - 11/23/2004 | ST. LOUIS, MO | |
B | 09/28/2000 - 07/01/2003 | NEW YORK, NY |
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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.