Individual Firm
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JORGE ALBERTO MALDONADO
JORGE MALDONADO
CRD#: 4794530
IA
B
MORGAN STANLEYCRD#: 149777 301 Congress Avenue
Suite 1400
Austin, TX 78701
Suite 1400
Austin, TX 78701
View By:
4/7/2022
Customer Dispute
Denied
State Registrations
B
California 12/4/2015
B
North Carolina 12/4/2015
B
Connecticut 12/4/2015
B
Ohio 5/21/2023
B
Florida 12/4/2015
B
Pennsylvania 12/4/2015
B
Kentucky 1/23/2020
B
South Carolina 12/13/2023
B
Maine 12/4/2015
B
Texas 12/4/2015
B
Maryland 1/6/2016
IA
Texas 12/4/2015
B
Missouri 12/4/2015
B
Virginia 2/14/2020
B
New Jersey 12/4/2015
B
Washington 2/8/2024
B
New York 12/4/2015
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 12/4/2015
B
Registered with this firm since 12/4/2015
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/03/2014 - 12/07/2015 | AUSTIN, TX | |
B | 01/01/2008 - 12/07/2015 | AUSTIN, TX | |
B | 12/04/2006 - 01/03/2008 | NEW YORK, NY | |
IA | 07/13/2004 - 10/20/2006 | STAMFORD, CT | |
B | 06/21/2004 - 10/20/2006 | STAMFORD, CT |
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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.
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.