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MICHELLE PELTIER WARSHAUER
MICHELLE PAMELA PELTIER
CRD#: 5158648
IA
B
MORGAN STANLEYCRD#: 149777 1261 West Causeway Approach
Mandeville, LA 70471
Mandeville, LA 70471
0
Disclosures
18
Years of Experience
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State Registrations
B
Alabama 9/15/2009
B
Mississippi 6/1/2009
B
Arizona 11/15/2022
B
Missouri 6/1/2009
B
Colorado 4/18/2011
B
New Mexico 2/6/2020
B
Florida 2/6/2020
B
North Carolina 6/4/2018
B
Georgia 1/29/2021
B
South Carolina 5/8/2023
B
Illinois 6/23/2009
B
Texas 6/1/2009
B
Indiana 8/30/2022
IA
Texas 4/23/2020
B
Louisiana 6/1/2009
B
Virginia 10/4/2019
IA
Louisiana 11/12/2010
B
Wisconsin 12/7/2021
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 11/12/2010
B
Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 07/11/2008 - 06/01/2009 | MANDEVILLE, LA | |
IA | 07/10/2007 - 07/15/2008 | COVINGTON, LA | |
B | 06/18/2007 - 07/15/2008 | COVINGTON, LA | |
B | 07/07/2006 - 01/17/2007 | NEW ORLEANS, LA |
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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.