Individual Firm
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PRESTON SCHOENFELD
PRESTON SCHOENFELD
CRD#: 4627512
IA
B
MORGAN STANLEYCRD#: 149777 611 EAST MAIN STREET
RIVERHEAD, NY 11901
RIVERHEAD, NY 11901
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3/13/2006
Customer Dispute
Settled
State Registrations
B
Alabama 9/14/2022
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New Jersey 4/29/2010
B
Arizona 9/27/2011
B
New York 4/27/2010
B
California 1/5/2011
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New York 6/16/2021
B
Colorado 2/1/2011
B
North Carolina 1/18/2011
B
Connecticut 1/7/2011
B
Ohio 9/15/2011
B
Delaware 6/6/2012
B
Oregon 8/14/2020
B
Florida 10/19/2010
B
Pennsylvania 9/15/2011
B
Georgia 9/15/2011
B
Rhode Island 3/28/2017
B
Illinois 12/14/2016
B
South Carolina 12/16/2016
B
Maine 9/15/2011
B
Tennessee 6/13/2013
B
Maryland 1/31/2011
B
Texas 10/3/2011
B
Massachusetts 9/16/2011
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Texas 4/2/2020
B
Michigan 9/16/2011
B
Virginia 2/1/2011
B
Montana 11/7/2024
B
Washington 10/18/2011
B
New Hampshire 12/16/2020
B
West Virginia 7/9/2020
B
New Jersey 4/28/2010
B
Wisconsin 10/19/2011
SRO Registrations
B
B
B
B
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Registered with this firm since 4/29/2010
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Registered with this firm since 4/27/2010
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 05/31/2005 - 04/04/2006 | MELVILLE, NY | |
B | 03/21/2003 - 05/13/2005 | NEW YORK, NY |
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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.
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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.