Individual Firm
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PHILIP JAMES BYRNE
PHILLIP VYRNE
CRD#: 4547706
IA
B
MORGAN STANLEYCRD#: 149777 200 N. Westlake Blvd.
Suite 200 and 207
Westlake Village, CA 91362
Suite 200 and 207
Westlake Village, CA 91362
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2/11/2016
Customer Dispute
Denied
3/12/2009
Customer Dispute
Denied
State Registrations
B
Alabama 3/5/2021
B
Massachusetts 3/28/2013
B
Alaska 3/16/2023
B
Michigan 10/12/2021
B
Arizona 6/1/2009
B
Minnesota 10/12/2021
B
California 6/1/2009
B
Missouri 6/1/2009
IA
California 6/1/2009
B
Nevada 6/1/2009
B
Colorado 6/1/2009
B
New Jersey 6/1/2009
B
Connecticut 6/1/2009
B
New York 6/1/2009
B
Delaware 9/24/2019
B
North Carolina 6/25/2019
B
District of Columbia 1/23/2019
B
Ohio 1/21/2021
B
Florida 2/29/2016
B
Oklahoma 10/12/2021
B
Georgia 6/1/2009
B
Oregon 10/31/2019
B
Hawaii 6/1/2009
B
Pennsylvania 1/8/2025
B
Idaho 2/5/2018
B
Tennessee 6/1/2009
B
Illinois 6/1/2009
B
Texas 7/23/2013
B
Indiana 5/1/2012
IA
Texas 2/11/2014
B
Kansas 2/10/2021
B
Utah 11/19/2014
B
Louisiana 10/12/2021
B
Virginia 10/31/2019
B
Maryland 6/1/2009
B
Washington 6/1/2009
SRO Registrations
B
B
B
B
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Learn about permitted activities of registered principals
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 | 08/11/2006 - 06/01/2009 | WOODLAND HILLS, CA | |
B | 08/11/2006 - 06/01/2009 | WOODLAND HILLS, CA | |
IA | 08/26/2002 - 08/25/2006 | WOODLAND HILLS, CA | |
B | 08/05/2002 - 08/25/2006 | WOODLAND HILLS, 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.
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.