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Detailed Report
ANNE SWAIN MIKLOS
ANNE MOODY SWAIN
CRD#: 5208834
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 2330 West Joppa Road
Suite 255
Lutherville, MD 21093
Registration History
20082010201220142016201820202022202420262 FIRMS2009 - Present (15 years)BMORGAN STANLEY & CO. INCORPORATED (CRD# 8209)2008 - 2009 (<1 year)IAMORGAN STANLEY & CO. INCORPORATED (CRD# 8209)2009 - 2009 (<1 year)
License(s)

State Registrations

B
Alabama 5/28/2020
B
Nevada 5/31/2011
B
Arizona 5/21/2020
B
New Hampshire 4/12/2017
B
California 6/1/2009
B
New Jersey 6/22/2010
B
Colorado 6/1/2009
B
New Mexico 7/24/2019
B
Connecticut 7/29/2016
B
New York 6/1/2009
B
Delaware 6/22/2012
B
North Carolina 6/1/2009
B
District of Columbia 6/22/2012
B
Ohio 6/25/2012
B
Florida 6/1/2009
B
Oregon 7/29/2016
B
Georgia 6/1/2009
B
Pennsylvania 6/22/2012
B
Hawaii 8/25/2017
B
Rhode Island 12/20/2018
B
Illinois 6/1/2009
B
South Carolina 12/7/2011
B
Indiana 5/28/2020
B
Tennessee 8/25/2017
B
Louisiana 12/8/2022
B
Texas 6/1/2009
B
Maryland 6/1/2009
IA
Texas 12/20/2018
IA
Maryland 6/14/2012
B
Utah 7/29/2016
B
Massachusetts 1/6/2011
B
Virginia 6/1/2009
B
Michigan 5/28/2020
B
Washington 6/1/2009
B
Mississippi 4/15/2021
B
West Virginia 7/24/2019
B
Montana 7/29/2016
B
Wisconsin 11/5/2019

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MORGAN STANLEY (CRD#:149777)
2330 West Joppa Road Suite 255, Lutherville, MD 21093
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
2330 West Joppa Road Suite 255, Lutherville, MD 21093
Registered with this firm since 6/1/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 03/03/2009 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) AUSTIN, TX
B
 09/17/2008 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) AUSTIN, TX
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.