Individual Firm
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JEFF PLYAMM
CRD#: 5482785
IA
B
MORGAN STANLEYCRD#: 149777 21650 Oxnard Street
Suite 1800
Woodland Hills, CA 91367
Suite 1800
Woodland Hills, CA 91367
View By:
11/1/2018
Customer Dispute
Denied
State Registrations
B
Arizona 8/5/2022
B
New Mexico 8/5/2022
B
California 8/5/2022
B
New York 8/5/2022
IA
California 8/8/2022
B
Tennessee 10/19/2022
B
Colorado 5/10/2023
B
Utah 5/13/2024
B
Delaware 8/10/2022
B
Washington 11/1/2022
B
Nevada 8/22/2022
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 8/8/2022
B
Registered with this firm since 8/5/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/09/2013 - 08/11/2022 | WOODLAND HILLS, CA | |
B | 09/09/2013 - 08/11/2022 | WOODLAND HILLS, CA | |
IA | 10/01/2012 - 09/10/2013 | LOS ANGELES, CA | |
B | 10/01/2012 - 09/10/2013 | LOS ANGELES, CA | |
IA | 01/08/2010 - 10/01/2012 | LOS ANGELES, CA | |
B | 01/08/2010 - 10/01/2012 | LOS ANGELES, CA | |
IA | 10/16/2009 - 01/05/2010 | GLENDALE, CA | |
B | 10/16/2009 - 01/05/2010 | GLENDALE, CA | |
IA | 06/10/2008 - 05/07/2009 | GLENDALE, CA | |
B | 04/03/2008 - 05/07/2009 | GLENDALE, 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.