Individual Firm
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MICHAEL BRYAN ANDERSON
CRD#: 4873740
IA
B
MORGAN STANLEYCRD#: 149777 6805 Carnegie Boulevard
Suite 400
Charlotte, NC 28211
Suite 400
Charlotte, NC 28211
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3/5/2008
Customer Dispute
Denied
State Registrations
B
Alabama 2/10/2020
B
New York 6/1/2009
B
Arizona 11/6/2017
B
North Carolina 6/1/2009
B
California 1/31/2017
IA
North Carolina 6/1/2009
B
Colorado 1/31/2017
B
Ohio 2/1/2017
B
Florida 6/1/2009
B
Oregon 3/16/2022
B
Georgia 4/5/2016
B
Pennsylvania 9/21/2020
B
Illinois 11/29/2023
B
South Carolina 6/1/2009
B
Indiana 7/20/2020
IA
South Carolina 4/4/2022
B
Kansas 1/31/2017
B
Tennessee 2/11/2016
B
Kentucky 4/26/2023
B
Texas 1/9/2017
B
Maine 7/10/2018
IA
Texas 1/8/2020
B
Maryland 6/1/2009
B
Utah 6/15/2021
B
Massachusetts 7/10/2018
B
Virginia 12/18/2012
B
Michigan 3/7/2025
B
Washington 1/31/2017
B
Missouri 11/11/2020
B
West Virginia 7/11/2024
B
New Jersey 1/31/2017
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 6/1/2009
B
Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/15/2008 - 06/01/2009 | CHARLOTTE, NC | |
B | 02/15/2008 - 06/01/2009 | CHARLOTTE, NC | |
IA | 03/14/2005 - 02/26/2008 | CHARLOTTE, NC | |
B | 02/03/2005 - 02/26/2008 | CHARLOTTE, NC | |
B | 02/03/2005 - 07/03/2006 | MINNEAPOLIS, MN |
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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.