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Detailed Report
DUPREE D JOHNSON II
D D JOHNSON II, D. D JOHNSON II, DUPREE D JOHNSON
CRD#: 5361560
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 1229 Post Road
Fairfield, CT 06824
Registration History
20082010201220142016201820202022202420262 FIRMS2007 - 2012 (4 years)2 FIRMS2012 - Present (12 years)
Disclosure(s)
View By:
10/9/2018
Judgment / Lien
License(s)

State Registrations

B
Colorado 1/25/2021
B
New York 8/2/2012
B
Connecticut 8/2/2012
B
Rhode Island 8/15/2014
IA
Connecticut 8/2/2012
B
South Carolina 1/30/2025
B
Florida 9/11/2012
B
Texas 8/2/2012
B
Massachusetts 8/2/2012
IA
Texas 4/8/2020

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)
1229 Post Road, Fairfield, CT 06824
Registered with this firm since 8/2/2012
B
MORGAN STANLEY (CRD#:149777)
1229 Post Road, Fairfield, CT 06824
Registered with this firm since 8/2/2012
Previous Registration(s)
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IA
 10/17/2007 - 08/07/2012 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) DARIEN, CT
B
 09/12/2007 - 08/07/2012 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) DARIEN, CT
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.