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JAMES E KARNES
CRD#: 4572147
IA
B
MORGAN STANLEYCRD#: 149777 1200 Third Avenue
Suite 100
Huntington, WV 25701
Suite 100
Huntington, WV 25701
0
Disclosures
22
Years of Experience
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State Registrations
B
Alabama 1/19/2011
B
New Mexico 2/8/2023
B
Arizona 1/19/2011
B
New York 11/29/2019
B
California 11/15/2019
B
North Carolina 6/1/2009
B
Colorado 1/29/2024
B
Ohio 6/1/2009
B
Connecticut 1/19/2011
B
Oregon 6/1/2009
B
Florida 6/1/2009
B
Pennsylvania 1/19/2011
B
Georgia 6/1/2009
B
South Carolina 6/1/2009
B
Idaho 4/1/2024
B
Tennessee 6/1/2009
B
Illinois 3/21/2022
B
Texas 12/18/2014
B
Indiana 3/3/2015
IA
Texas 4/23/2020
B
Kentucky 6/1/2009
B
Virginia 6/1/2009
B
Louisiana 11/29/2019
B
Washington 3/18/2022
B
Maryland 6/4/2015
B
West Virginia 6/1/2009
B
Michigan 2/22/2024
IA
West Virginia 6/1/2009
B
New Jersey 8/9/2024
B
Wisconsin 12/10/2024
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 | 09/28/2004 - 06/01/2009 | HUNTINGTON, WV | |
B | 09/23/2002 - 06/01/2009 | HUNTINGTON, WV |
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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.