Individual Firm
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LAUREN P CORTRIGHT
LAUREN A PIEPER, LAUREN ASHLEY PIEPER
CRD#: 5238638
IA
B
MORGAN STANLEYCRD#: 149777 Aptos, CA
0
Disclosures
17
Years of Experience
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State Registrations
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Alabama 12/14/2020
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Minnesota 3/1/2021
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Arizona 4/9/2018
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Missouri 8/5/2015
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Arkansas 7/24/2024
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Montana 7/2/2012
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California 2/10/2011
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Nevada 7/2/2012
IA
California 2/10/2011
B
New Jersey 3/29/2023
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Colorado 12/2/2011
B
New York 7/2/2012
B
Connecticut 10/24/2024
B
North Carolina 7/3/2012
B
Delaware 9/13/2022
B
Ohio 3/6/2025
B
Florida 7/2/2012
B
Oregon 7/15/2015
B
Hawaii 7/2/2012
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Pennsylvania 7/2/2012
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Idaho 2/13/2012
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Rhode Island 1/6/2022
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Illinois 7/2/2012
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South Carolina 7/2/2012
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Indiana 7/2/2012
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Texas 7/2/2012
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Kansas 5/7/2020
IA
Texas 2/25/2020
B
Kentucky 5/10/2012
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Virginia 1/21/2014
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Louisiana 10/3/2012
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Washington 7/21/2011
B
Maryland 4/5/2012
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Wisconsin 4/3/2023
B
Massachusetts 5/24/2023
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Wyoming 1/5/2017
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Michigan 7/2/2012
SRO Registrations
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IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/23/2009 - 12/07/2010 | LAVISTA, NE | |
B | 01/23/2009 - 12/07/2010 | WATSONVILLE, CA | |
IA | 07/02/2008 - 01/23/2009 | WATSONVILLE, CA | |
B | 07/01/2008 - 01/23/2009 | WATSONVILLE, CA | |
IA | 01/19/2007 - 06/10/2008 | CARMEL, CA | |
B | 01/05/2007 - 06/10/2008 | CARMEL, 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.