Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
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Detailed Report
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2020 - Present (4 years)BRAYMOND JAMES FINANCIAL SERVIC... (CRD# 6694)2010 - 2010 (<1 year)BRAYMOND JAMES & ASSOCIATES, INC. (CRD# 705)2004 - 2009 (5 years)IARAYMOND JAMES & ASSOCIATES, INC. (CRD# 705)2007 - 2009 (2 years)
Disclosure(s)
View By:
4/14/2009
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 8/27/2020
B
Nebraska 8/27/2020
B
Alaska 8/27/2020
B
Nevada 8/27/2020
B
Arizona 8/27/2020
B
New Hampshire 8/27/2020
B
Arkansas 8/27/2020
B
New Jersey 8/27/2020
B
California 8/27/2020
B
New Mexico 8/27/2020
B
Colorado 8/27/2020
B
New York 8/27/2020
B
Connecticut 8/27/2020
B
North Carolina 8/27/2020
B
Delaware 8/27/2020
B
North Dakota 8/27/2020
B
District of Columbia 8/27/2020
B
Ohio 8/27/2020
B
Florida 7/28/2020
B
Oklahoma 8/27/2020
IA
Florida 8/25/2020
B
Oregon 8/27/2020
B
Georgia 8/24/2020
B
Pennsylvania 8/27/2020
B
Hawaii 8/27/2020
B
Puerto Rico 8/27/2020
B
Idaho 8/27/2020
B
Rhode Island 8/27/2020
B
Illinois 8/27/2020
B
South Carolina 8/27/2020
B
Indiana 8/27/2020
B
South Dakota 8/27/2020
B
Iowa 8/27/2020
B
Tennessee 8/27/2020
B
Kansas 8/27/2020
B
Texas 8/27/2020
B
Kentucky 8/27/2020
IA
Texas 8/27/2020
B
Louisiana 8/27/2020
B
Utah 8/27/2020
B
Maine 8/27/2020
B
Vermont 8/27/2020
B
Maryland 8/27/2020
B
Virgin Islands 8/27/2020
B
Massachusetts 8/27/2020
B
Virginia 8/27/2020
B
Michigan 8/27/2020
B
Washington 8/27/2020
B
Minnesota 8/27/2020
B
West Virginia 8/27/2020
B
Mississippi 8/27/2020
B
Wisconsin 8/27/2020
B
Missouri 8/27/2020
B
Wyoming 8/27/2020
B
Montana 8/27/2020

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)
4050 West Boy Scout Boulevard, Tampa, FL 33607
St. Petersburg, FL
Registered with this firm since 8/25/2020
B
MORGAN STANLEY (CRD#:149777)
4050 West Boy Scout Boulevard, Tampa, FL 33607
St. Petersburg, FL
Registered with this firm since 7/21/2020
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 01/08/2010 - 03/05/2010 RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694) TAMPA, FL
IA
 03/14/2007 - 12/31/2009 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) KALAMAZOO, MI
B
 07/05/2004 - 12/31/2009 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) KALAMAZOO, MI
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.