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THEODORE B GOVEDARICA
THEODORE BARTO GOVEDARICA, THEODORE BATO GOVEDARICA
CRD#: 502710
IA
B
MORGAN STANLEYCRD#: 149777 760 West Main Street
Barrington, IL 60010
Barrington, IL 60010
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3/2/2011
Customer Dispute
Denied
12/1/1987
Customer Dispute
Settled
State Registrations
B
Arizona 6/1/2009
B
Nevada 6/1/2009
B
California 6/1/2009
B
New Hampshire 10/6/2023
B
Colorado 6/24/2021
B
New York 8/2/2023
B
Florida 6/1/2009
B
North Carolina 6/1/2009
IA
Florida 10/12/2022
B
Ohio 6/1/2009
B
Georgia 6/1/2009
B
Pennsylvania 6/1/2009
B
Illinois 6/1/2009
B
Tennessee 6/24/2021
IA
Illinois 6/1/2009
B
Texas 6/1/2009
B
Indiana 6/1/2009
IA
Texas 9/12/2016
B
Massachusetts 6/1/2009
B
Virginia 10/25/2017
B
Michigan 6/1/2009
B
Washington 5/26/2015
B
Minnesota 6/1/2009
B
Wisconsin 6/1/2009
B
Missouri 6/1/2009
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 | 04/02/2007 - 06/01/2009 | BARRINGTON, IL | |
B | 04/02/2007 - 06/01/2009 | BARRINGTON, IL | |
IA | 05/28/2002 - 04/02/2007 | BARRINGTON, IL | |
B | 03/20/1990 - 04/02/2007 | BARRINGTON, IL | |
B | 01/08/1979 - 03/24/1990 | 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.
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.