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Detailed Report
MARTHA BEATRIZ BERUMEN
MARTHA BERUMEN
CRD#: 4788059
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 101 West Broadway
Suite 1800
San Diego, CA 92101
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2011 - 2015 (4 years)2 FIRMS2015 - Present (9 years)BBANC OF AMERICA INVESTMENT SER... (CRD# 16361)2004 - 2007 (2 years)IABANC OF AMERICA INVESTMENT SER... (CRD# 16361)2005 - 2007 (1 year)
License(s)

State Registrations

B
California 10/16/2015
B
Florida 10/16/2015
IA
California 10/19/2015
B
Texas 10/16/2015
B
Colorado 10/16/2015
IA
Texas 10/16/2015

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)
101 West Broadway Suite 1800, San Diego, CA 92101
Registered with this firm since 10/16/2015
B
MORGAN STANLEY (CRD#:149777)
101 West Broadway Suite 1800, San Diego, CA 92101
Registered with this firm since 10/16/2015
Previous Registration(s)
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IA
 03/30/2011 - 10/20/2015 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SAN DIEGO, CA
B
 01/19/2011 - 10/20/2015 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SAN DIEGO, CA
IA
 05/20/2005 - 02/02/2007 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) SAN DIEGO, CA
B
 12/06/2004 - 02/02/2007 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) SAN DIEGO, CA
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.