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JAMES NICHOLAS SUGER
JAMES SUGER
CRD#: 4732554
IA
B
MORGAN STANLEYCRD#: 149777 1200 Franklin Avenue
2Nd Floor
Garden City, NY 11530
2Nd Floor
Garden City, NY 11530
View By:
5/1/2003
Judgment / Lien
State Registrations
B
Alabama 2/7/2011
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Nevada 1/24/2011
B
Alaska 1/13/2011
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New Hampshire 1/18/2011
B
Arizona 6/1/2009
B
New Jersey 6/1/2009
B
Arkansas 1/12/2011
B
New Mexico 1/12/2011
B
California 6/1/2009
B
New York 6/1/2009
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California 6/1/2009
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New York 6/16/2021
B
Colorado 1/13/2011
B
North Carolina 6/1/2009
B
Connecticut 6/1/2009
B
North Dakota 11/16/2010
B
Delaware 4/12/2010
B
Ohio 1/12/2011
B
District of Columbia 1/12/2011
B
Oklahoma 1/26/2011
B
Florida 6/1/2009
B
Oregon 1/12/2011
B
Georgia 6/1/2009
B
Pennsylvania 6/1/2009
B
Hawaii 4/6/2011
B
Puerto Rico 1/18/2011
B
Idaho 1/12/2011
B
Rhode Island 1/13/2011
B
Illinois 1/12/2011
B
South Carolina 6/1/2009
B
Indiana 6/1/2009
B
South Dakota 1/12/2011
B
Iowa 1/14/2011
B
Tennessee 2/15/2017
B
Kansas 1/12/2011
B
Texas 6/1/2009
B
Kentucky 6/14/2010
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Texas 2/20/2020
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Louisiana 1/27/2011
B
Utah 1/18/2011
B
Maine 1/12/2011
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Vermont 5/5/2011
B
Maryland 6/1/2009
B
Virgin Islands 1/13/2011
B
Massachusetts 6/1/2009
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Virginia 6/1/2009
B
Minnesota 1/12/2011
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Washington 6/1/2009
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Mississippi 1/12/2011
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West Virginia 1/18/2011
B
Missouri 1/12/2011
B
Wisconsin 1/12/2011
B
Montana 1/12/2011
B
Wyoming 1/13/2011
B
Nebraska 1/13/2011
SRO Registrations
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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 | 04/02/2007 - 06/01/2009 | GARDEN CITY, NY | |
B | 04/02/2007 - 06/01/2009 | GARDEN CITY, NY | |
IA | 12/08/2005 - 04/02/2007 | GARDEN CITY, NY | |
B | 01/30/2004 - 04/02/2007 | GARDEN CITY, 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.
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.
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