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Detailed Report
JOSHUA HENRY
JOSHUA JEROME HENRY, Josh Henry
CRD#: 4828440
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 4969 US Highway 42
Suite 1200
Louisville, KY 40222
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2010 - 2022 (11 years)2 FIRMS2022 - Present (2 years)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)2006 - 2010 (4 years)BNORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2005 - 2006 (<1 year)BAIG SUNAMERICA CAPITAL SERVICE... (CRD# 13158)2004 - 2005 (<1 year)IACHASE INVESTMENT SERVICES CORP. (CRD# 25574)2010 - 2010 (<1 year)
Disclosure(s)
View By:
9/27/2023
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 8/19/2022
B
Missouri 9/19/2022
B
California 8/19/2022
B
Nevada 9/19/2022
B
Colorado 9/19/2022
B
New Jersey 8/24/2023
B
Connecticut 9/19/2022
B
New York 8/19/2022
B
Delaware 3/13/2024
B
North Carolina 8/19/2022
B
Florida 8/23/2022
B
Ohio 8/19/2022
B
Georgia 8/19/2022
B
Oregon 8/19/2022
B
Hawaii 9/19/2022
B
Pennsylvania 8/19/2022
B
Idaho 8/19/2022
B
Rhode Island 8/19/2022
B
Illinois 8/19/2022
B
South Carolina 8/19/2022
B
Indiana 8/19/2022
B
Tennessee 8/19/2022
B
Iowa 9/19/2022
B
Texas 8/19/2022
B
Kansas 8/19/2022
IA
Texas 8/19/2022
B
Kentucky 8/19/2022
B
Vermont 1/31/2024
IA
Kentucky 8/19/2022
B
Virgin Islands 9/19/2022
B
Louisiana 9/19/2022
B
Virginia 9/19/2022
B
Maine 8/19/2022
B
Washington 8/19/2022
B
Maryland 9/2/2022
B
Wisconsin 9/19/2022
B
Michigan 9/19/2022

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)
4969 US Highway 42 Suite 1200, Louisville, KY 40222
Registered with this firm since 8/19/2022
B
MORGAN STANLEY (CRD#:149777)
4969 US Highway 42 Suite 1200, Louisville, KY 40222
Registered with this firm since 8/19/2022
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 09/07/2010 - 08/22/2022 PNC INVESTMENTS (CRD#:129052) LOUISVILLE, KY
B
 09/07/2010 - 08/22/2022 PNC INVESTMENTS (CRD#:129052) LOUISVILLE, KY
IA
 02/17/2010 - 08/19/2010 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) LOUISVILLE, KY
B
 03/10/2006 - 08/19/2010 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) LOUISVILLE, KY
B
 03/17/2005 - 02/27/2006 NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881) LOUISVILLE, KY
B
 09/20/2004 - 01/12/2005 AIG SUNAMERICA CAPITAL SERVICES, INC. (CRD#:13158) JERSEY CITY, NJ
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.