Individual Firm
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HARSHAL DOSHI
CRD#: 4625523
IA
B
MORGAN STANLEYCRD#: 149777 2141 Rosecrans Avenue
Suite 3100
El Segundo, CA 90245
Suite 3100
El Segundo, CA 90245
0
Disclosures
22
Years of Experience
View By:
State Registrations
B
Alabama 6/20/2023
B
Montana 9/18/2020
B
Alaska 9/18/2020
B
Nevada 9/18/2020
B
Arizona 9/18/2020
B
New Hampshire 9/28/2023
B
California 9/18/2020
B
New Jersey 3/8/2024
IA
California 9/18/2020
B
New York 9/18/2020
B
Colorado 9/18/2020
B
Oklahoma 1/29/2024
B
Connecticut 9/18/2020
B
Oregon 9/18/2020
B
Delaware 9/18/2020
B
Pennsylvania 9/18/2020
B
Florida 9/18/2020
B
Rhode Island 10/18/2022
B
Hawaii 9/18/2020
B
Texas 9/18/2020
B
Illinois 9/18/2020
IA
Texas 9/18/2020
B
Maryland 7/6/2023
B
Utah 9/18/2020
B
Michigan 9/18/2020
B
Washington 9/18/2020
B
Missouri 9/18/2020
B
Wyoming 10/19/2020
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 9/18/2020
B
Registered with this firm since 9/18/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/31/2003 - 09/29/2020 | BEVERLY HILLS, CA | |
B | 03/12/2003 - 09/29/2020 | BEVERLY 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.