Individual Firm
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PRINYA SOMMALA
CRD#: 4630609
IA
B
MORGAN STANLEYCRD#: 149777 8889 Pelican Bay Boulevard
Suite 300
Naples, FL 34108
Suite 300
Naples, FL 34108
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4/12/2015
Customer Dispute
Settled
2/12/2013
Customer Dispute
Settled
State Registrations
B
Alabama 5/10/2024
B
Missouri 9/2/2022
B
Arizona 9/2/2022
B
Nevada 9/2/2022
B
Arkansas 9/17/2024
B
New Jersey 9/2/2022
B
California 9/2/2022
B
New York 9/2/2022
B
Connecticut 9/2/2022
B
North Carolina 9/2/2022
B
Delaware 6/5/2023
B
Ohio 9/2/2022
B
District of Columbia 4/10/2023
B
Oklahoma 9/2/2022
B
Florida 9/2/2022
B
Pennsylvania 9/18/2024
IA
Florida 9/6/2022
B
South Carolina 9/2/2022
B
Georgia 8/7/2024
B
Tennessee 9/2/2022
B
Illinois 9/9/2022
IA
Texas 9/2/2022
B
Indiana 9/2/2022
B
Texas 7/10/2024
B
Kentucky 9/2/2022
B
Vermont 8/12/2024
B
Massachusetts 9/2/2022
B
Virginia 10/11/2023
B
Michigan 9/2/2022
B
West Virginia 8/10/2023
B
Minnesota 9/2/2022
B
Wisconsin 9/2/2022
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 9/2/2022
B
Registered with this firm since 9/2/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/25/2015 - 09/03/2022 | BONITA SPRINGS, FL | |
B | 03/23/2015 - 09/03/2022 | BONITA SPRINGS, FL | |
IA | 02/21/2013 - 03/12/2015 | CHESTNUT HILL, MA | |
B | 02/05/2013 - 03/12/2015 | CHESTNUT HILL, MA | |
IA | 03/21/2011 - 01/28/2013 | HYDE PARK, MA | |
B | 11/19/2010 - 01/28/2013 | HYDE PARK, MA | |
B | 11/21/2008 - 12/24/2008 | HUDSON, NH | |
B | 03/26/2008 - 09/04/2008 | SAUGUS, MA | |
B | 02/16/2007 - 03/03/2008 | LOWELL, MA | |
B | 06/15/2005 - 03/08/2007 | WORCESTER, MA | |
B | 04/23/2003 - 02/26/2004 | ST. LOUIS, MO |
For additional information about investment advisers or broker-dealers, please visit
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.