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Detailed Report
DAVID M KUBICA
DAVID MATHEW KUBICA
CRD#: 5659636
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 Prospect Heights, IL
Registration History
2010201220142016201820202022202420262 FIRMS2009 - 2011 (2 years)2 FIRMS2011 - 2012 (1 year)2 FIRMS2014 - 2021 (6 years)2 FIRMS2022 - Present (2 years)
License(s)

State Registrations

B
Illinois 4/13/2022
IA
Illinois 4/13/2022

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)
Prospect Heights, IL
Registered with this firm since 4/13/2022
B
MORGAN STANLEY (CRD#:149777)
Prospect Heights, IL
Registered with this firm since 4/13/2022
Previous Registration(s)
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IA
 07/15/2014 - 02/01/2021 CHARLES SCHWAB & CO., INC. (CRD#:5393) Chicago, IL
B
 07/15/2014 - 02/01/2021 CHARLES SCHWAB & CO., INC. (CRD#:5393) Chicago, IL
IA
 11/16/2011 - 11/20/2012 ADVANCED EQUITIES, INC. (CRD#:35545) CHICAGO, IL
B
 11/16/2011 - 11/20/2012 ADVANCED EQUITIES, INC. (CRD#:35545)
FINRA expelled the firm on 08/18/2014
CHICAGO, IL
IA
 05/01/2009 - 11/10/2011 DAVID A. NOYES & COMPANY (CRD#:205) CHICAGO, IL
B
 04/22/2009 - 11/10/2011 DAVID A. NOYES & COMPANY (CRD#:205) CHICAGO, IL
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.