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Detailed Report
Joseph F Varga
JOSEPH FRANCIS VARGA
CRD#: 4761739
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 112 Worcester Street
Wellesley, MA 02481
Registration History
2004200620082010201220142016201820202022202420263 FIRMS2013 - 2014 (1 year)2 FIRMS2018 - 2021 (2 years)2 FIRMS2021 - 2022 (<1 year)2 FIRMS2022 - Present (3 years)BSCOTTRADE, INC. (CRD# 8206)2015 - 2018 (3 years)BRAFFERTY CAPITAL MARKETS, LLC (CRD# 23682)2006 - 2012 (6 years)BLEGEND EQUITIES CORPORATION (CRD# 30999)2005 - 2006 (1 year)BAXA ADVISORS, LLC (CRD# 6627)2004 - 2005 (1 year)BCOMMERCE ONE FINANCIAL INC. (CRD# 100340)2004 - 2004 (<1 year)IATD AMERITRADE INVESTMENT MANAG... (CRD# 111514)2018 - 2020 (2 years)IASCOTTRADE INVESTMENT MANAGEMENT (CRD# 169988)2016 - 2018 (1 year)
License(s)

State Registrations

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Alabama 2/4/2022
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Nebraska 2/4/2022
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Alaska 2/4/2022
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Nevada 2/4/2022
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Arizona 2/4/2022
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New Hampshire 2/4/2022
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Arkansas 2/4/2022
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New Jersey 2/4/2022
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California 2/4/2022
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New Mexico 2/4/2022
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Colorado 2/4/2022
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New York 2/4/2022
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Connecticut 2/4/2022
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North Carolina 2/4/2022
IA
Connecticut 2/4/2022
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North Dakota 2/4/2022
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Delaware 2/4/2022
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Ohio 2/4/2022
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District of Columbia 2/4/2022
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Oklahoma 2/4/2022
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Florida 2/4/2022
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Oregon 2/4/2022
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Georgia 2/4/2022
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Pennsylvania 2/4/2022
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Hawaii 2/4/2022
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Puerto Rico 2/4/2022
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Idaho 2/4/2022
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Rhode Island 2/4/2022
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Illinois 2/4/2022
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South Carolina 2/4/2022
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Indiana 2/4/2022
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South Dakota 2/4/2022
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Iowa 2/4/2022
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Tennessee 2/4/2022
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Kansas 2/4/2022
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Texas 2/4/2022
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Kentucky 2/4/2022
IA
Texas 2/4/2022
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Louisiana 2/4/2022
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Utah 2/4/2022
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Maine 2/4/2022
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Vermont 2/4/2022
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Maryland 2/4/2022
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Virgin Islands 2/4/2022
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Massachusetts 2/4/2022
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Virginia 2/4/2022
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Michigan 2/4/2022
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Washington 2/4/2022
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Minnesota 2/4/2022
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West Virginia 2/4/2022
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Mississippi 2/4/2022
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Wisconsin 2/4/2022
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Missouri 2/4/2022
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Wyoming 2/4/2022
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Montana 2/4/2022

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)
112 Worcester Street, Wellesley, MA 02481
Registered with this firm since 2/4/2022
B
MORGAN STANLEY (CRD#:149777)
112 Worcester Street, Wellesley, MA 02481
Registered with this firm since 2/4/2022
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 03/24/2021 - 01/20/2022 SANTANDER SECURITIES (CRD#:41791) Winchester, MA
B
 03/19/2021 - 01/20/2022 SANTANDER SECURITIES LLC (CRD#:41791) Winchester, MA
IA
 03/07/2018 - 01/11/2021 TD AMERITRADE, INC. (CRD#:7870) Framingham, MA
B
 02/26/2018 - 01/11/2021 TD AMERITRADE, INC. (CRD#:7870) Framingham, MA
IA
 02/26/2018 - 12/31/2020 TD AMERITRADE INVESTMENT MANAGEMENT, LLC (CRD#:111514) NATICK, MA
IA
 09/21/2016 - 02/26/2018 SCOTTRADE INVESTMENT MANAGEMENT (CRD#:169988) SAINT LOUIS, MO
B
 01/26/2015 - 02/26/2018 SCOTTRADE, INC. (CRD#:8206) BURLINGTON, MA
IA
 06/03/2013 - 09/05/2014 AMERIVEST INVESTMENT MANAGEMENT, LLC (CRD#:111514) BOSTON, MA
IA
 06/03/2013 - 09/05/2014 TD AMERITRADE, INC. (CRD#:7870) BOSTON, MA
B
 05/17/2013 - 09/05/2014 TD AMERITRADE, INC. (CRD#:7870) BOSTON, MA
B
 07/10/2006 - 09/11/2012 RAFFERTY CAPITAL MARKETS, LLC (CRD#:23682) BOSTON, MA
B
 06/15/2005 - 07/28/2006 LEGEND EQUITIES CORPORATION (CRD#:30999) BOHEMIA, NY
B
 06/07/2004 - 06/20/2005 AXA ADVISORS, LLC (CRD#:6627) NEW YORK, NY
B
 02/26/2004 - 05/04/2004 COMMERCE ONE FINANCIAL INC. (CRD#:100340) SYOSSET, NY
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.