Individual Firm
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JONATHAN TAYLOR KEENEY FRUCCE
JONATHAN FRUCCE
CRD#: 5151117
IA
B
MORGAN STANLEYCRD#: 149777 225 Asylum Street
14Th Floor
Hartford, CT 06103
14Th Floor
Hartford, CT 06103
View By:
5/24/2021
Customer Dispute
Denied
State Registrations
B
Arizona 11/27/2020
B
Minnesota 11/27/2020
B
California 11/27/2020
B
New Hampshire 11/27/2020
B
Colorado 11/27/2020
B
New Jersey 11/27/2020
B
Connecticut 11/27/2020
B
New York 11/27/2020
IA
Connecticut 11/27/2020
B
North Carolina 11/27/2020
B
Delaware 12/21/2021
B
Ohio 11/27/2020
B
Florida 11/27/2020
B
Pennsylvania 11/27/2020
B
Georgia 11/27/2020
B
South Carolina 11/27/2020
B
Illinois 11/27/2020
B
Tennessee 11/27/2020
B
Indiana 11/27/2020
B
Texas 11/27/2020
B
Kentucky 11/27/2020
IA
Texas 11/27/2020
B
Maine 11/27/2020
B
Vermont 5/4/2022
B
Maryland 11/27/2020
B
Virginia 11/27/2020
B
Massachusetts 11/27/2020
B
Washington 11/27/2020
B
Michigan 11/27/2020
B
Wisconsin 11/27/2020
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 11/27/2020
B
Registered with this firm since 11/27/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/17/2008 - 12/08/2020 | HARTFORD, CT | |
B | 06/06/2007 - 12/08/2020 | HARTFORD, CT |
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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.