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COSMIN GEORGE SERBAN
CRD#: 5337871
IA
B
MORGAN STANLEYCRD#: 149777 100 Wilshire Boulevard
Suite 1900
Santa Monica, CA 90401
Suite 1900
Santa Monica, CA 90401
0
Disclosures
15
Years of Experience
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State Registrations
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California 4/7/2014
IA
California 4/7/2014
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 4/7/2014
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Registered with this firm since 4/7/2014
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/28/2011 - 03/26/2014 | LONG BEACH, CA | |
B | 10/28/2011 - 03/26/2014 | LONG BEACH, CA | |
IA | 05/02/2011 - 10/11/2011 | HOUSTON, TX | |
B | 05/02/2011 - 10/11/2011 | HOUSTON, TX | |
IA | 01/03/2011 - 04/29/2011 | CYPRESS, TX | |
B | 01/03/2011 - 04/29/2011 | CYPRESS, TX | |
IA | 08/24/2009 - 01/03/2011 | CYPRESS, TX | |
B | 08/04/2009 - 01/03/2011 | CYPRESS, TX |
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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.