Individual Firm
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LAWRENCE ANTHONY CONKLIN
CRD#: 52060
IA
B
MORGAN STANLEYCRD#: 149777 2800 Post Oak Boulevard
18th Floor
Houston, TX 77056
18th Floor
Houston, TX 77056
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5/24/2005
Customer Dispute
Settled
4/27/2004
Customer Dispute
Denied
2/16/1995
Customer Dispute
Settled
State Registrations
B
Arizona 6/1/2009
B
Maryland 6/1/2009
B
Arkansas 6/1/2009
B
Minnesota 6/16/2020
B
California 6/1/2009
B
Montana 11/17/2020
B
Colorado 7/1/2020
B
Texas 6/1/2009
B
Florida 6/1/2009
IA
Texas 6/1/2009
B
Georgia 6/1/2009
B
Washington 6/1/2009
B
Idaho 1/12/2023
B
Wisconsin 8/13/2019
SRO Registrations
B
B
B
B
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Learn about permitted activities of registered principals
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 | 07/31/1993 - 06/01/2009 | HOUSTON, TX | |
B | 07/31/1993 - 06/01/2009 | HOUSTON, TX | |
B | 02/15/1988 - 07/31/1993 | NEW YORK, NY | |
B | 02/19/1974 - 02/15/1988 | ||
B | 07/02/1973 - 03/06/1974 | ||
B | 08/01/1968 - 07/02/1973 |
07/02/1973 - 03/06/1974
08/01/1968 - 07/02/1973
For additional information about investment advisers or broker-dealers, please visit
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.