Individual Firm
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ARTHUR DOUGLAS STEVENS
CRD#: 435787
IA
B
MORGAN STANLEYCRD#: 149777 1650 Market Street 42Nd Floor
Philadelphia, PA 19103
Philadelphia, PA 19103
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10/21/2009
Customer Dispute
Settled
State Registrations
B
Alabama 5/11/2016
B
Montana 3/5/2021
B
Arizona 6/1/2009
B
New Hampshire 6/1/2009
B
California 6/1/2009
B
New Jersey 6/1/2009
B
Colorado 3/4/2020
IA
New Jersey 5/13/2022
B
Connecticut 6/1/2009
B
New Mexico 12/11/2018
B
Delaware 6/1/2009
B
New York 6/1/2009
B
District of Columbia 6/1/2009
B
North Carolina 6/1/2009
B
Florida 6/1/2009
B
Ohio 6/1/2009
B
Georgia 6/1/2009
B
Pennsylvania 6/1/2009
B
Hawaii 6/1/2009
IA
Pennsylvania 7/31/2013
B
Illinois 6/1/2009
B
Rhode Island 6/29/2017
B
Indiana 6/1/2009
B
South Carolina 8/7/2012
B
Kansas 11/28/2017
B
Tennessee 1/5/2023
B
Louisiana 3/4/2020
B
Texas 6/1/2009
B
Maine 3/27/2024
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Texas 4/2/2020
B
Maryland 6/1/2009
B
Vermont 5/14/2024
B
Massachusetts 6/1/2009
B
Virginia 6/1/2009
B
Michigan 6/1/2009
B
Washington 5/10/2017
B
Missouri 10/15/2021
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 7/31/2013
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Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 02/21/2006 - 06/01/2009 | PHILADELPHIA, PA | |
B | 02/16/1990 - 02/21/2006 | BALTIMORE, MD | |
B | 09/17/1979 - 03/05/1990 | NEW YORK, NY | |
B | 01/18/1978 - 09/17/1979 | ||
B | 05/05/1977 - 01/18/1978 | ||
B | 09/25/1974 - 05/05/1977 |
05/05/1977 - 01/18/1978
09/25/1974 - 05/05/1977
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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.