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
PHILIP Y PAUL
PHILIP YARON PAUL, PHILIP PAUL
CRD#: 4875748
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 61 South Paramus Road
3Rd Floor
Paramus, NJ 07652
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2013 - 2015 (2 years)2 FIRMS2017 - 2021 (3 years)2 FIRMS2021 - Present (3 years)BAXA ADVISORS, LLC (CRD# 6627)2004 - 2013 (8 years)IAAXA ADVISORS, LLC (CRD# 6627)2006 - 2013 (7 years)
License(s)

State Registrations

B
Alabama 1/31/2025
B
Nevada 8/13/2021
B
Alaska 5/3/2022
B
New Hampshire 1/31/2025
B
Arizona 8/13/2021
B
New Jersey 8/9/2021
B
Arkansas 8/13/2021
IA
New Jersey 8/9/2021
B
California 8/9/2021
B
New Mexico 8/13/2021
B
Colorado 8/9/2021
B
New York 8/9/2021
B
Connecticut 8/13/2021
B
North Carolina 8/13/2021
B
Delaware 8/13/2021
B
North Dakota 1/31/2025
B
District of Columbia 8/13/2021
B
Ohio 8/15/2021
B
Florida 8/9/2021
B
Oklahoma 1/31/2025
B
Georgia 8/13/2021
B
Oregon 8/13/2021
B
Hawaii 8/13/2021
B
Pennsylvania 8/9/2021
B
Idaho 1/31/2025
B
Puerto Rico 1/31/2025
B
Illinois 8/9/2021
B
Rhode Island 8/13/2021
B
Indiana 8/13/2021
B
South Carolina 8/13/2021
B
Iowa 1/31/2025
B
South Dakota 1/31/2025
B
Kansas 1/31/2025
B
Tennessee 8/9/2021
B
Kentucky 8/13/2021
B
Texas 8/9/2021
B
Louisiana 8/13/2021
IA
Texas 8/9/2021
B
Maine 8/13/2021
B
Utah 1/31/2025
B
Maryland 8/13/2021
B
Vermont 8/13/2021
B
Massachusetts 8/9/2021
B
Virgin Islands 1/31/2025
B
Michigan 8/9/2021
B
Virginia 8/13/2021
B
Minnesota 1/31/2025
B
Washington 8/13/2021
B
Mississippi 8/13/2021
B
West Virginia 1/31/2025
B
Missouri 2/22/2024
B
Wisconsin 8/13/2021
B
Montana 8/2/2024
B
Wyoming 8/13/2021
B
Nebraska 1/31/2025

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)
61 South Paramus Road 3Rd Floor, Paramus, NJ 07652
Registered with this firm since 8/9/2021
B
MORGAN STANLEY (CRD#:149777)
61 South Paramus Road 3Rd Floor, Paramus, NJ 07652
Registered with this firm since 8/9/2021
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 10/10/2017 - 08/02/2021 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) FLORHAM PARK, NJ
B
 10/10/2017 - 08/02/2021 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) FLORHAM PARK, NJ
IA
 10/08/2013 - 11/19/2015 PNC INVESTMENTS (CRD#:129052) STERLING, NJ
B
 10/04/2013 - 11/19/2015 PNC INVESTMENTS (CRD#:129052) STERLING, NJ
IA
 02/08/2006 - 10/08/2013 AXA ADVISORS, LLC (CRD#:6627) WOODBRIDGE, NJ
B
 12/01/2004 - 10/08/2013 AXA ADVISORS, LLC (CRD#:6627) WOODBRIDGE, 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.