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Detailed Report
TODD DAVID LUBIN
TODD D LUBIN MR., TODD D LUBIN
CRD#: 4639895
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 609 Deep Valley Drive
Suite 400
Rolling Hills Estates, CA 90274
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2003 - 2004 (<1 year)3 FIRMS2007 - 2007 (<1 year)2 FIRMS2009 - 2009 (<1 year)2 FIRMS2009 - 2010 (1 year)2 FIRMS2010 - Present (14 years)BCHARLES SCHWAB & CO., INC. (CRD# 5393)2005 - 2006 (<1 year)BAXA ADVISORS, LLC (CRD# 6627)2004 - 2005 (1 year)BMFS FUND DISTRIBUTORS, INC. (CRD# 31052)2003 - 2003 (<1 year)
Disclosure(s)
View By:
5/16/2005
Customer Dispute
Settled
License(s)

State Registrations

B
Alaska 10/15/2013
B
Nevada 3/1/2013
B
Arizona 11/19/2010
B
New York 5/19/2014
B
California 6/24/2010
B
Oklahoma 8/30/2022
IA
California 6/25/2010
B
Oregon 7/18/2014
B
Colorado 6/1/2015
B
South Carolina 3/1/2013
B
Delaware 11/17/2020
B
Tennessee 2/14/2022
B
Florida 6/29/2012
B
Texas 12/1/2022
B
Georgia 2/21/2012
IA
Texas 12/8/2022
B
Illinois 4/13/2017
B
Utah 3/26/2024
B
Kansas 8/15/2022
B
Washington 9/2/2011
B
Missouri 9/1/2017
B
Wyoming 1/17/2024
B
Nebraska 3/1/2013

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MORGAN STANLEY (CRD#:149777)
609 Deep Valley Drive Suite 400, Rolling Hills Estates, CA 90274
Registered with this firm since 6/25/2010
B
MORGAN STANLEY (CRD#:149777)
609 Deep Valley Drive Suite 400, Rolling Hills Estates, CA 90274
Registered with this firm since 6/24/2010
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 05/02/2009 - 06/15/2010 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) ROLLING HILLS, CA
B
 05/02/2009 - 06/15/2010 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) ROLLING HILLS, CA
IA
 01/09/2009 - 05/02/2009 WAMU INVESTMENTS, INC. (CRD#:599) ROLLING HILLS, CA
B
 01/14/2009 - 05/02/2009 WAMU INVESTMENTS, INC. (CRD#:599) ROLLING HILLS, CA
IA
 07/06/2007 - 08/08/2007 UNIONBANC INVESTMENT SERVICES, LLC (CRD#:14455) SANTA MONICA, CA
B
 05/22/2007 - 08/08/2007 UNIONBANC INVESTMENT SERVICES, LLC (CRD#:14455) SANTA MONICA, CA
B
 02/08/2007 - 03/21/2007 ARQUE CAPITAL, LTD. (CRD#:121192) SCOTTSDALE, AZ
B
 12/05/2005 - 08/22/2006 CHARLES SCHWAB & CO., INC. (CRD#:5393) PHOENIX, AZ
B
 07/27/2004 - 12/06/2005 AXA ADVISORS, LLC (CRD#:6627) NEW YORK, NY
B
 10/06/2003 - 06/10/2004 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363) MINNEAPOLIS, MN
B
 10/06/2003 - 01/09/2004 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
B
 03/24/2003 - 07/15/2003 MFS FUND DISTRIBUTORS, INC. (CRD#:31052) BOSTON, MA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.