Individual Firm
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WOLFGANG KARL FRISCH
FRISCH KARL WOLFGANG
CRD#: 4442414
IA
B
MORGAN STANLEYCRD#: 149777 800 Newport Center Drive
Suite 500
Newport Beach, CA 92660
Suite 500
Newport Beach, CA 92660
View By:
10/28/2022
Regulatory
Final
4/9/2014
Regulatory
Final
State Registrations
B
Alabama 8/12/2021
B
Nevada 8/2/2021
B
Alaska 8/2/2021
B
New Jersey 8/16/2021
B
Arizona 8/2/2021
B
New Mexico 8/2/2021
B
Arkansas 9/15/2022
B
New York 8/2/2021
B
California 8/2/2021
B
North Carolina 8/25/2021
IA
California 8/3/2021
B
Ohio 8/25/2021
B
Colorado 8/24/2021
B
Oklahoma 8/2/2021
B
Connecticut 8/16/2021
B
Oregon 8/2/2021
B
Florida 8/2/2021
B
South Carolina 8/24/2021
B
Georgia 8/2/2021
B
Tennessee 8/2/2021
B
Idaho 8/2/2021
B
Texas 8/2/2021
B
Illinois 8/2/2021
IA
Texas 8/2/2021
B
Maine 8/2/2021
B
Utah 6/14/2024
B
Maryland 8/2/2021
B
Vermont 8/24/2021
B
Massachusetts 8/2/2021
B
Virginia 8/2/2021
B
Michigan 8/2/2021
B
Washington 8/2/2021
B
Montana 9/15/2021
B
Wyoming 8/2/2021
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 8/2/2021
B
Registered with this firm since 8/2/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/19/2011 - 08/11/2021 | NEWPORT BEACH, CA | |
B | 05/19/2011 - 08/11/2021 | NEWPORT BEACH, CA | |
IA | 12/09/2002 - 06/07/2011 | IRVINE, CA | |
B | 08/07/2002 - 06/07/2011 | IRVINE, CA |
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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.
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