Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
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Detailed Report
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2009 - 2011 (1 year)2 FIRMS2011 - 2020 (8 years)2 FIRMS2020 - Present (5 years)BBANC OF AMERICA INVESTMENT SER... (CRD# 16361)2001 - 2009 (8 years)IABANC OF AMERICA INVESTMENT SER... (CRD# 16361)2002 - 2009 (7 years)
Disclosure(s)
View By:
6/9/2009
Customer Dispute
Settled
License(s)

State Registrations

B
Alaska 3/31/2023
B
Missouri 11/8/2021
B
Arizona 12/4/2020
B
Montana 12/1/2020
B
California 1/21/2020
B
Nevada 1/21/2020
IA
California 1/22/2020
B
New Hampshire 8/14/2023
B
Colorado 1/21/2020
B
New Jersey 1/21/2020
B
Connecticut 1/26/2022
B
New Mexico 3/9/2023
B
Delaware 10/17/2022
B
New York 1/21/2020
B
District of Columbia 12/1/2020
B
North Carolina 12/1/2020
B
Florida 1/21/2020
B
Ohio 12/1/2020
B
Georgia 11/30/2020
B
Oregon 12/3/2020
B
Hawaii 3/10/2023
B
Rhode Island 9/21/2022
B
Idaho 11/27/2020
B
South Carolina 1/11/2023
B
Illinois 12/13/2022
B
Tennessee 3/21/2022
B
Indiana 11/29/2023
IA
Texas 1/21/2020
B
Iowa 12/4/2020
B
Texas 1/23/2020
B
Kansas 3/10/2023
B
Utah 11/1/2022
B
Maryland 2/17/2023
B
Virgin Islands 9/15/2023
B
Massachusetts 1/21/2020
B
Virginia 3/14/2023
B
Michigan 12/2/2020
B
Washington 1/21/2020
B
Minnesota 12/1/2020
B
Wisconsin 6/3/2021
B
Mississippi 11/30/2020
B
Wyoming 1/10/2024

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)
1901 Main Street Suite 700, Irvine, CA 92614
800 Newport Center Drive Suite 500, Newport Beach, CA 92660
Registered with this firm since 1/21/2020
B
MORGAN STANLEY (CRD#:149777)
1901 Main Street Suite 700, Irvine, CA 92614
800 Newport Center Drive Suite 500, Newport Beach, CA 92660
Registered with this firm since 1/21/2020
Previous Registration(s)
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IA
 03/01/2011 - 01/29/2020 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) IRVINE, CA
B
 02/28/2011 - 01/29/2020 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) IRVINE, CA
IA
 10/23/2009 - 03/01/2011 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEWPORT BEACH, CA
B
 10/23/2009 - 03/01/2011 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEWPORT BEACH, CA
IA
 06/12/2002 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) IRVINE, CA
B
 01/01/2001 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) IRVINE, CA
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.