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SUSAN STEPHENS TAYLOR
SUSAN MANNING STEPHENS, SUSAN MANNING TAYLOR
CRD#: 4474494
IA
B
MORGAN STANLEYCRD#: 149777 3800 Glenwood Avenue
Suite 500
RALEIGH, NC 27612
Suite 500
RALEIGH, NC 27612
0
Disclosures
23
Years of Experience
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State Registrations
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Alabama 1/5/2022
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Nebraska 8/23/2017
B
Arizona 2/3/2011
B
Nevada 8/3/2020
B
Arkansas 8/23/2017
B
New Hampshire 3/15/2024
B
California 2/3/2011
B
New Jersey 2/3/2011
B
Colorado 9/22/2015
B
New York 2/3/2011
B
Connecticut 2/28/2012
B
North Carolina 6/1/2009
B
Delaware 4/28/2016
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North Carolina 6/1/2009
B
District of Columbia 4/10/2013
B
Ohio 5/26/2016
B
Florida 6/1/2009
B
Oklahoma 10/30/2015
B
Georgia 2/3/2011
B
Oregon 3/4/2021
B
Hawaii 3/15/2024
B
Pennsylvania 5/25/2016
B
Illinois 2/3/2011
B
Puerto Rico 11/1/2021
B
Iowa 8/23/2017
B
South Carolina 6/1/2009
B
Kansas 2/3/2011
B
South Dakota 3/8/2022
B
Kentucky 3/16/2021
B
Tennessee 2/3/2011
B
Louisiana 6/1/2009
B
Texas 2/3/2011
B
Maine 10/15/2019
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Texas 5/24/2011
B
Maryland 8/12/2021
B
Utah 5/25/2016
B
Massachusetts 8/4/2021
B
Vermont 3/15/2024
B
Michigan 10/10/2024
B
Virginia 6/1/2009
B
Minnesota 6/17/2020
B
Washington 9/26/2017
B
Mississippi 6/5/2020
B
West Virginia 2/3/2011
B
Missouri 5/25/2016
B
Wisconsin 4/5/2024
SRO Registrations
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Registered with this firm since 6/1/2009
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Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/16/2004 - 06/01/2009 | RALEIGH, NC | |
B | 11/16/2004 - 06/01/2009 | RALEIGH, NC | |
IA | 03/22/2002 - 11/12/2004 | RALEIGH, NC | |
B | 12/07/2001 - 11/12/2004 | NEW YORK, NY |
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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.
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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.