Individual Firm
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JUAN JOSE CAROM
JUAN CAROM ZAPATA
CRD#: 4343069
IA
B
MORGAN STANLEYCRD#: 149777 200 South Biscayne Boulevard
Suite 1100
Miami, FL 33131
Suite 1100
Miami, FL 33131
0
Disclosures
23
Years of Experience
View By:
State Registrations
B
Alabama 7/21/2017
B
Mississippi 12/14/2016
B
California 3/31/2016
B
Nevada 5/3/2018
B
Colorado 5/4/2017
B
New York 3/31/2016
B
Connecticut 2/8/2018
B
Oklahoma 3/31/2016
B
Delaware 10/7/2016
B
Pennsylvania 7/21/2016
B
Florida 3/31/2016
B
South Dakota 10/7/2016
IA
Florida 4/12/2016
B
Texas 5/9/2016
B
Georgia 3/31/2016
IA
Texas 4/23/2020
B
Illinois 10/2/2017
B
Virginia 12/17/2024
B
Maryland 4/27/2021
B
Washington 5/21/2024
B
Massachusetts 3/31/2016
B
Wyoming 3/14/2017
B
Michigan 3/31/2016
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 4/12/2016
B
Registered with this firm since 3/31/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/01/2010 - 04/22/2016 | CORAL GABLES, FL | |
B | 01/01/2010 - 04/22/2016 | CORAL GABLES, FL | |
IA | 10/10/2005 - 01/01/2010 | CORAL GABLES, FL | |
B | 10/07/2005 - 01/01/2010 | CORAL GABLES, FL | |
IA | 07/01/2003 - 10/10/2005 | MIAMI, FL | |
B | 07/01/2003 - 10/10/2005 | ST. LOUIS, MO | |
IA | 04/16/2001 - 07/01/2003 | MIAMI, FL | |
B | 04/04/2001 - 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.