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ETHAN OLDS REID
CRD#: 4467684
IA
B
MORGAN STANLEYCRD#: 149777 741 BOSTON POST ROAD
MADISON, CT 06443
MADISON, CT 06443
View By:
5/3/2023
Customer Dispute
Denied
State Registrations
B
Alaska 2/22/2017
B
Nebraska 8/11/2017
B
Arizona 4/3/2017
B
Nevada 12/16/2024
B
California 6/1/2009
B
New Hampshire 6/1/2009
B
Colorado 2/22/2017
B
New Jersey 6/1/2009
B
Connecticut 6/1/2009
B
New Mexico 1/22/2020
IA
Connecticut 6/1/2009
B
New York 6/1/2009
B
Delaware 11/4/2019
B
North Carolina 6/1/2009
B
District of Columbia 6/24/2014
B
North Dakota 1/21/2020
B
Florida 6/1/2009
B
Ohio 4/4/2017
B
Georgia 2/1/2016
B
Oregon 12/24/2015
B
Hawaii 8/8/2011
B
Pennsylvania 6/1/2009
B
Idaho 1/26/2022
B
Rhode Island 6/1/2009
B
Illinois 6/1/2009
B
South Carolina 6/1/2009
B
Indiana 3/9/2018
B
Tennessee 11/4/2019
B
Kentucky 11/15/2016
B
Texas 8/22/2017
B
Louisiana 10/10/2024
IA
Texas 4/8/2020
B
Maine 10/14/2011
B
Utah 8/22/2017
B
Maryland 6/9/2009
B
Vermont 4/3/2017
B
Massachusetts 6/1/2009
B
Virginia 6/1/2009
B
Michigan 6/18/2009
B
Washington 2/22/2017
B
Minnesota 2/2/2010
B
Wisconsin 6/12/2019
B
Montana 5/6/2015
B
Wyoming 2/22/2017
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
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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 | 09/22/2006 - 06/01/2009 | HARTFORD, CT | |
B | 09/22/2006 - 06/01/2009 | HARTFORD, CT | |
IA | 02/11/2002 - 09/26/2006 | GLASTONBURY, CT | |
B | 11/26/2001 - 09/26/2006 | GLASTONBURY, CT |
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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.