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Detailed Report
STEVEN STEVEN DOUEK
SHLOMO STEVEN DOUEK, STEVEN DOUEK, SHLOMO STEVEN DOUEK WEISER, SHLOMO DOUEK WEISER
CRD#: 4913839
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 101 West Broadway
Suite 1800
San Diego, CA 92101
Registration History
200620082010201220142016201820202022202420262 FIRMS2005 - 2016 (11 years)2 FIRMS2016 - Present (8 years)
Disclosure(s)
View By:
10/14/2016
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 8/8/2016
B
New York 8/8/2016
B
California 8/8/2016
B
North Carolina 8/8/2016
IA
California 8/8/2016
B
Ohio 11/22/2019
B
Colorado 8/10/2016
B
Pennsylvania 8/8/2016
B
Delaware 8/8/2016
B
South Carolina 2/20/2025
B
Florida 8/8/2016
B
South Dakota 9/10/2018
B
Georgia 7/7/2020
B
Texas 8/8/2016
B
Idaho 11/13/2024
IA
Texas 8/8/2016
B
Illinois 8/8/2016
B
Utah 2/27/2019
B
Maryland 8/8/2016
B
Virgin Islands 8/8/2016
B
Massachusetts 8/8/2016
B
Virginia 8/8/2016
B
Minnesota 8/11/2016
B
Washington 6/2/2017
B
Nevada 7/10/2019
B
Wyoming 12/17/2020

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)
101 West Broadway Suite 1800, San Diego, CA 92101
Registered with this firm since 8/8/2016
B
MORGAN STANLEY (CRD#:149777)
101 West Broadway Suite 1800, San Diego, CA 92101
Registered with this firm since 8/8/2016
Previous Registration(s)
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IA
 04/22/2005 - 08/09/2016 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SAN DIEGO, CA
B
 03/24/2005 - 08/09/2016 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SAN DIEGO, CA
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.