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ROSA V LEACE
ROSA LEACE, ROSA VAZQUEZ
CRD#: 5037363
IA
B
MORGAN STANLEYCRD#: 149777 350 East Las Olas Boulevard
Suite 1500
Fort Lauderdale, FL 33301
Suite 1500
Fort Lauderdale, FL 33301
View By:
3/19/2024
Financial
Final
State Registrations
B
Colorado 10/13/2022
IA
New Jersey 8/24/2023
B
District of Columbia 11/13/2015
B
New York 11/13/2015
B
Florida 11/13/2015
B
Pennsylvania 11/13/2015
IA
Florida 11/19/2015
B
Texas 11/13/2015
B
Maryland 11/13/2015
IA
Texas 11/13/2015
B
New Jersey 11/13/2015
B
Virginia 11/13/2015
SRO Registrations
B
B
B
B
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Learn about permitted activities of registered principals
IA
Registered with this firm since 11/13/2015
B
Registered with this firm since 11/13/2015
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/16/2006 - 11/17/2015 | WESTON, FL | |
B | 01/01/2006 - 11/17/2015 | WESTON, FL |
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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.