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ROMAN YAKUBOV
CRD#: 4896691
IA
B
MORGAN STANLEYCRD#: 149777 Two Jericho Plaza
Jericho, NY 11753
Jericho, NY 11753
0
Disclosures
15
Years of Experience
View By:
State Registrations
B
Arizona 6/6/2013
B
New Jersey 6/6/2013
B
California 6/6/2013
B
New York 6/6/2013
B
Colorado 6/6/2013
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New York 6/16/2021
B
Connecticut 6/6/2013
B
North Carolina 1/30/2025
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Connecticut 7/15/2016
B
Pennsylvania 4/6/2022
B
Delaware 1/26/2022
B
Puerto Rico 1/11/2024
B
District of Columbia 6/6/2013
B
Rhode Island 11/17/2020
B
Florida 6/6/2013
B
South Carolina 3/6/2024
B
Georgia 2/19/2014
B
Tennessee 1/5/2024
B
Indiana 8/19/2020
B
Texas 7/25/2022
B
Louisiana 1/5/2024
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Texas 8/4/2022
B
Massachusetts 4/6/2022
B
Washington 8/1/2024
B
Missouri 5/28/2024
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 7/15/2016
B
Registered with this firm since 6/6/2013
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 12/23/2010 - 06/07/2013 | NEW YORK, NY | |
B | 06/12/2007 - 03/31/2008 | NEW YORK, NY |
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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.
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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.