Individual Firm
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GABRIEL AGUIRRE
CRD#: 4445351
IA
B
MORGAN STANLEYCRD#: 149777 74199 El Paseo
Suite 201
Palm Desert, CA 92260
Suite 201
Palm Desert, CA 92260
View By:
11/3/2011
Customer Dispute
Denied
State Registrations
B
Alaska 8/23/2023
B
Missouri 8/16/2023
B
Arizona 8/16/2023
B
Montana 8/16/2023
B
California 8/16/2023
B
Nevada 8/16/2023
IA
California 8/17/2023
B
New Hampshire 8/16/2023
B
Colorado 8/16/2023
B
New Jersey 8/16/2023
B
Connecticut 12/20/2024
B
New Mexico 8/23/2023
B
Delaware 8/23/2023
B
New York 8/16/2023
B
Florida 8/16/2023
B
North Carolina 8/16/2023
B
Georgia 9/26/2024
B
Ohio 8/16/2023
B
Hawaii 8/23/2023
B
Oregon 8/22/2023
B
Idaho 8/16/2023
B
Pennsylvania 7/15/2024
B
Illinois 8/16/2023
B
Rhode Island 1/8/2025
B
Indiana 8/16/2023
B
South Dakota 6/13/2024
B
Kansas 2/2/2024
B
Tennessee 8/16/2023
B
Kentucky 8/23/2023
B
Texas 8/16/2023
B
Louisiana 8/16/2023
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Texas 8/16/2023
B
Maryland 8/23/2023
B
Utah 8/16/2023
B
Massachusetts 8/16/2023
B
Virginia 8/16/2023
B
Michigan 8/16/2023
B
Washington 8/16/2023
B
Mississippi 8/23/2023
B
West Virginia 8/23/2023
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 8/16/2023
B
Registered with this firm since 8/16/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/26/2011 - 09/06/2023 | PALM DESERT, CA | |
B | 08/25/2011 - 09/06/2023 | PALM DESERT, CA | |
IA | 10/23/2009 - 08/29/2011 | RANCHO MIRAGE, CA | |
B | 10/23/2009 - 08/29/2011 | RANCHO MIRAGE, CA | |
IA | 08/22/2003 - 10/23/2009 | PALM DESERT, CA | |
B | 10/01/2001 - 10/23/2009 | PALM DESERT, CA |
RANCHO MIRAGE, CA
10/23/2009 - 08/29/2011
RANCHO MIRAGE, CA
10/23/2009 - 08/29/2011
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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.