Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
FRANCELLE S GUILLET
FRANCELLE LIANNE SERRETT, FRANCELLE L SERRETT GUILLET
CRD#: 4790651
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 400 Convention Street
Suite 400
Baton Rouge, LA 70802
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2004 - 2006 (1 year)2 FIRMS2016 - Present (8 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2006 - 2016 (10 years)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2007 - 2016 (9 years)
License(s)

State Registrations

B
Alabama 6/14/2016
B
New Hampshire 6/14/2016
B
Alaska 3/26/2021
B
New Jersey 6/14/2016
B
Arizona 6/14/2016
B
New Mexico 1/13/2023
B
Arkansas 6/14/2016
B
New York 6/14/2016
B
California 6/14/2016
B
North Carolina 6/14/2016
B
Colorado 6/14/2016
B
North Dakota 6/14/2016
B
Connecticut 6/14/2016
B
Ohio 6/14/2016
B
Delaware 6/14/2016
B
Oklahoma 6/14/2016
B
District of Columbia 1/13/2023
B
Oregon 6/14/2016
B
Florida 6/14/2016
B
Pennsylvania 6/14/2016
B
Georgia 6/14/2016
B
Puerto Rico 3/27/2020
B
Illinois 6/14/2016
B
Rhode Island 6/14/2016
B
Indiana 6/14/2016
B
South Carolina 6/14/2016
B
Iowa 1/13/2023
B
South Dakota 6/14/2016
B
Kansas 6/14/2016
B
Tennessee 4/11/2023
B
Kentucky 6/14/2016
B
Texas 6/14/2016
B
Louisiana 6/14/2016
IA
Texas 6/14/2016
IA
Louisiana 6/14/2016
B
Utah 6/14/2016
B
Maryland 6/14/2016
B
Vermont 1/13/2023
B
Massachusetts 6/14/2016
B
Virgin Islands 3/26/2021
B
Michigan 2/27/2019
B
Virginia 6/14/2016
B
Minnesota 6/14/2016
B
Washington 6/14/2016
B
Mississippi 6/14/2016
B
West Virginia 6/14/2016
B
Missouri 6/14/2016
B
Wisconsin 1/13/2023
B
Montana 6/14/2016
B
Wyoming 6/14/2016
B
Nevada 1/13/2023

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)
400 Convention Street Suite 400, Baton Rouge, LA 70802
Registered with this firm since 6/14/2016
B
MORGAN STANLEY (CRD#:149777)
400 Convention Street Suite 400, Baton Rouge, LA 70802
Registered with this firm since 6/14/2016
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/27/2007 - 06/03/2016 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) BATON ROUGE, LA
B
 02/28/2006 - 06/03/2016 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) BATON ROUGE, LA
B
 09/28/2004 - 02/17/2006 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) MINNEAPOLIS, MN
B
 09/28/2004 - 02/17/2006 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
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.