Individual Firm
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DAVID ROBERT BENNETTE
CRD#: 4845041
IA
B
MORGAN STANLEYCRD#: 149777 400 Capitol Mall
Suite 1900
Sacramento, CA 95814
Suite 1900
Sacramento, CA 95814
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4/1/2016
Employment Separation After Allegations
State Registrations
B
California 5/16/2016
B
New Jersey 12/17/2024
IA
California 5/17/2016
B
New York 3/26/2023
B
Florida 8/3/2017
B
North Carolina 4/12/2024
B
Hawaii 8/9/2024
B
Oregon 6/27/2019
B
Indiana 12/14/2022
B
Texas 9/24/2020
B
Minnesota 4/15/2018
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Texas 9/25/2020
B
Mississippi 5/16/2016
B
Washington 1/11/2024
SRO Registrations
B
B
B
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Learn about permitted activities of registered principals
IA
Registered with this firm since 5/17/2016
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Registered with this firm since 5/16/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/03/2016 - 05/19/2016 | Elk Grove, CA | |
B | 05/04/2016 - 05/19/2016 | Elk Grove, CA | |
IA | 01/03/2011 - 04/25/2016 | ELK GROVE, CA | |
B | 01/03/2011 - 04/25/2016 | ELK GROVE, CA | |
IA | 08/06/2008 - 01/03/2011 | ELK GROVE, CA | |
B | 08/05/2008 - 01/03/2011 | ELK GROVE, CA | |
IA | 06/07/2005 - 08/07/2008 | STOCKTON, CA | |
B | 06/07/2005 - 08/07/2008 | STOCKTON, CA | |
IA | 01/01/2005 - 06/17/2005 | SANTA CLARA, CA | |
B | 11/10/2004 - 06/17/2005 | SAN FRANCISCO, CA |
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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.