Individual Firm
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ALICE LEGAN MITCHELL
ALICE L GOMM, ALICE LEGAN GOMM, ALICE GOMM, ALICE L JOHNSON, ALICE LEGAN JOHNSON…
CRD#: 5459701
IA
B
MORGAN STANLEYCRD#: 149777 4890 West Kennedy Boulevard Suite 700
Tampa, FL 33609
Tampa, FL 33609
0
Disclosures
16
Years of Experience
View By:
State Registrations
B
California 5/6/2022
B
New Jersey 5/6/2022
B
Colorado 5/6/2022
B
New York 5/6/2022
B
Delaware 5/6/2022
B
North Carolina 5/6/2022
B
Florida 5/6/2022
B
South Carolina 5/6/2022
IA
Florida 5/9/2022
B
Tennessee 5/6/2022
B
Georgia 5/6/2022
B
Texas 5/6/2022
B
Idaho 5/6/2022
IA
Texas 5/10/2022
B
Indiana 9/18/2024
B
Virginia 5/6/2022
B
Maryland 5/6/2022
B
Washington 5/6/2022
B
Massachusetts 5/6/2022
B
Wisconsin 5/6/2022
B
Michigan 5/6/2022
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 5/9/2022
B
Registered with this firm since 5/6/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/03/2012 - 05/17/2022 | CLEARWATER, FL | |
B | 05/02/2012 - 05/17/2022 | CLEARWATER, FL | |
B | 04/07/2010 - 01/24/2012 | KANSAS CITY, MO | |
B | 07/06/2009 - 01/24/2012 | KANSAS CITY, MO | |
IA | 11/24/2010 - 09/20/2011 | KANSAS CITY, MO | |
B | 12/18/2008 - 07/06/2009 | KANSAS CITY, MO | |
IA | 04/30/2008 - 08/11/2008 | NASHUA, NH | |
B | 03/19/2008 - 08/11/2008 | FORT MILL, SC |
KANSAS CITY, MO
11/24/2010 - 09/20/2011
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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.