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Detailed Report
JAMES GREGORY PONDEL
JAMES GREGORY PONDEL MR
CRD#: 5433065
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 20975 Swenson Drive
Suite 300
Waukesha, WI 53186
Registration History
20082010201220142016201820202022202420262 FIRMS2007 - 2012 (4 years)2 FIRMS2012 - Present (12 years)
License(s)

State Registrations

B
Alabama 4/22/2022
B
Montana 3/27/2018
B
Arizona 5/11/2012
B
Nebraska 4/22/2022
B
Arkansas 1/28/2020
B
Nevada 10/6/2014
B
California 5/11/2012
B
New Hampshire 4/2/2014
B
Colorado 1/28/2020
B
New Jersey 5/11/2012
B
Connecticut 4/22/2022
B
New Mexico 5/11/2012
B
Delaware 8/22/2023
B
New York 5/11/2012
B
District of Columbia 4/22/2022
B
North Carolina 5/11/2012
B
Florida 11/3/2014
B
Ohio 5/11/2012
B
Georgia 5/11/2012
B
Oregon 4/22/2022
B
Hawaii 7/26/2022
B
Pennsylvania 4/22/2022
B
Idaho 5/19/2022
B
Puerto Rico 5/11/2012
B
Illinois 5/11/2012
B
Rhode Island 4/22/2022
B
Indiana 5/11/2012
B
South Carolina 4/22/2022
B
Iowa 8/23/2013
B
Tennessee 9/26/2018
B
Kansas 5/11/2012
B
Texas 5/11/2012
B
Kentucky 4/22/2022
IA
Texas 3/19/2020
B
Louisiana 1/28/2020
B
Utah 8/22/2023
B
Maryland 5/11/2012
B
Vermont 8/22/2023
B
Massachusetts 11/12/2019
B
Virginia 4/22/2022
B
Michigan 5/11/2012
B
Washington 1/28/2020
B
Minnesota 5/11/2012
B
Wisconsin 5/11/2012
B
Mississippi 9/10/2021
IA
Wisconsin 5/11/2012
B
Missouri 1/28/2020
B
Wyoming 4/22/2022

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)
20975 Swenson Drive Suite 300, Waukesha, WI 53186
Registered with this firm since 5/11/2012
B
MORGAN STANLEY (CRD#:149777)
20975 Swenson Drive Suite 300, Waukesha, WI 53186
Registered with this firm since 5/11/2012
Previous Registration(s)
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IA
 12/03/2007 - 05/14/2012 WELLS FARGO ADVISORS, LLC (CRD#:19616) WAUKESHA, WI
B
 11/07/2007 - 05/14/2012 WELLS FARGO ADVISORS, LLC (CRD#:19616) WAUKESHA, WI
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.