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JON DEREK NEUHAUS
CRD#: 4567651
IA
B
MORGAN STANLEYCRD#: 149777 444 South Flower Street,34Th Floor
Los Angeles, CA 90071
Los Angeles, CA 90071
0
Disclosures
22
Years of Experience
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State Registrations
B
Alabama 7/8/2022
B
Minnesota 8/7/2019
B
Alaska 4/20/2018
B
Missouri 8/23/2022
B
Arizona 6/1/2009
B
Nevada 6/1/2009
B
California 6/1/2009
B
New Hampshire 6/30/2016
IA
California 6/1/2009
B
New Jersey 8/28/2015
B
Colorado 6/26/2012
B
New Mexico 6/1/2009
B
Connecticut 4/19/2010
B
New York 6/1/2009
B
Delaware 4/3/2017
B
North Carolina 4/25/2018
B
District of Columbia 7/11/2023
B
Oregon 3/7/2016
B
Florida 8/16/2010
B
Pennsylvania 1/29/2021
B
Georgia 2/28/2017
B
South Carolina 5/20/2016
B
Idaho 8/30/2022
B
South Dakota 7/16/2024
B
Illinois 6/1/2009
B
Texas 6/1/2009
B
Indiana 6/24/2024
IA
Texas 2/26/2015
B
Kansas 11/27/2024
B
Utah 3/1/2013
B
Maryland 4/5/2013
B
Virginia 12/20/2016
B
Massachusetts 4/19/2018
B
Washington 2/25/2015
B
Michigan 10/18/2016
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 | 02/21/2006 - 06/01/2009 | LOS ANGELES, CA | |
B | 02/17/2006 - 06/01/2009 | LOS ANGELES, CA | |
IA | 11/25/2002 - 02/24/2006 | LOS ANGELES, CA | |
B | 11/07/2002 - 02/24/2006 | LOS ANGELES, CA |
LOS ANGELES, CA
11/07/2002 - 02/24/2006
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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.