Individual Firm
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JUSTIN EDWIN FISTER
CRD#: 4504496
IA
B
MORGAN STANLEYCRD#: 149777 444 East Main Street
Suite 111
Lexington, KY 40507
Suite 111
Lexington, KY 40507
View By:
9/5/2017
Customer Dispute
Denied
State Registrations
B
Alabama 6/1/2009
B
Montana 7/31/2024
B
Arizona 11/19/2021
B
Nebraska 1/4/2017
B
California 6/1/2009
B
Nevada 4/29/2024
B
Colorado 6/1/2009
B
New Jersey 7/18/2009
B
Delaware 1/15/2020
B
New Mexico 5/10/2023
B
District of Columbia 3/11/2013
B
New York 6/1/2009
B
Florida 6/1/2009
B
North Carolina 6/1/2009
B
Georgia 6/1/2009
B
Ohio 6/1/2009
B
Hawaii 7/16/2024
B
Oklahoma 7/19/2023
B
Illinois 6/1/2009
B
Oregon 1/4/2017
B
Indiana 6/1/2009
B
Pennsylvania 12/6/2010
B
Iowa 6/20/2012
B
South Carolina 6/1/2009
B
Kansas 9/22/2021
B
Tennessee 6/1/2009
B
Kentucky 6/1/2009
B
Texas 6/1/2009
IA
Kentucky 6/1/2009
IA
Texas 2/11/2014
B
Louisiana 9/24/2021
B
Utah 10/12/2021
B
Maryland 9/20/2021
B
Vermont 9/20/2021
B
Massachusetts 6/1/2009
B
Virginia 6/1/2009
B
Michigan 6/1/2009
B
Washington 1/4/2017
B
Minnesota 7/31/2024
B
West Virginia 6/1/2009
B
Mississippi 6/1/2009
B
Wisconsin 9/23/2021
B
Missouri 6/1/2009
B
Wyoming 7/19/2023
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 | 01/22/2004 - 06/01/2009 | LEXINGTON, KY | |
B | 03/25/2002 - 06/01/2009 | LEXINGTON, KY |
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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.