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Thomas Aguna
THOMAS ANTHONY AGUNA JR, THOMAS ANTHONY AGUNA
CRD#: 5232360
IA
B
MORGAN STANLEYCRD#: 149777 Ten Pointe Drive
Suite 400
Brea, CA 92821
Suite 400
Brea, CA 92821
0
Disclosures
15
Years of Experience
View By:
State Registrations
B
Alabama 9/27/2022
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Missouri 6/5/2020
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Arizona 6/5/2020
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Nebraska 6/5/2020
B
Arkansas 7/26/2024
B
Nevada 6/5/2020
B
California 6/5/2020
B
New Jersey 6/5/2020
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California 6/8/2020
B
New Mexico 6/5/2020
B
Colorado 6/5/2020
B
New York 6/5/2020
B
Connecticut 6/5/2020
B
North Carolina 6/5/2020
B
Delaware 6/5/2020
B
Ohio 6/5/2020
B
District of Columbia 6/5/2020
B
Oklahoma 6/5/2020
B
Florida 6/5/2020
B
Oregon 6/5/2020
B
Georgia 6/5/2020
B
Pennsylvania 6/5/2020
B
Hawaii 6/5/2020
B
South Carolina 6/5/2020
B
Idaho 6/5/2020
B
South Dakota 1/10/2025
B
Illinois 6/5/2020
B
Tennessee 1/26/2022
B
Indiana 5/14/2021
B
Texas 6/5/2020
B
Kansas 6/5/2020
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Texas 6/5/2020
B
Maryland 6/5/2020
B
Utah 6/5/2020
B
Massachusetts 6/5/2020
B
Virginia 6/5/2020
B
Michigan 6/5/2020
B
Washington 6/26/2020
B
Minnesota 6/5/2020
B
West Virginia 5/14/2021
B
Mississippi 6/5/2020
SRO Registrations
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B
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B
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IA
Registered with this firm since 6/5/2020
B
Registered with this firm since 6/5/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/21/2015 - 06/11/2020 | NEWPORT BEACH, CA | |
B | 10/01/2012 - 06/11/2020 | NEWPORT BEACH, CA | |
B | 10/29/2009 - 10/01/2012 | NEWPORT BEACH, CA |
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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.