Individual Firm
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ALAN MICHAEL BUTLER II
CRD#: 4407312
IA
B
MORGAN STANLEYCRD#: 149777 1201 Wills Street
Suite 700
Baltimore, MD 21231
Suite 700
Baltimore, MD 21231
0
Disclosures
23
Years of Experience
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State Registrations
B
California 4/20/2011
B
New York 6/1/2009
B
Colorado 6/1/2009
B
North Carolina 1/21/2014
B
Connecticut 6/1/2009
B
Pennsylvania 8/17/2023
B
District of Columbia 12/16/2022
B
Texas 10/14/2021
B
Florida 1/26/2010
IA
Texas 10/20/2021
B
Maine 7/29/2021
B
Vermont 12/22/2023
B
Maryland 6/1/2009
B
Virginia 6/1/2009
IA
Maryland 6/1/2009
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 6/1/2009
B
Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/27/2007 - 06/01/2009 | BALTIMORE, MD | |
B | 07/27/2007 - 06/01/2009 | BALTIMORE, MD | |
IA | 10/19/2001 - 08/08/2007 | BETHESDA, MD | |
B | 08/07/2001 - 08/08/2007 | BETHESDA, MD |
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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.