Individual Firm
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
BRIAN A PETERSON
BRIAN AULDRIDGE PETERSON, Brian A Peterson
CRD#: 5699859
IA
B
MORGAN STANLEYCRD#: 149777 225 Asylum Street
14Th Floor
Hartford, CT 06103
14Th Floor
Hartford, CT 06103
0
Disclosures
13
Years of Experience
View By:
State Registrations
B
Alabama 10/9/2017
B
Nebraska 10/9/2017
B
Alaska 10/9/2017
B
Nevada 10/9/2017
B
Arizona 10/9/2017
B
New Hampshire 9/26/2017
B
Arkansas 10/9/2017
B
New Jersey 10/9/2017
B
California 10/9/2017
B
New Mexico 10/9/2017
B
Colorado 10/9/2017
B
New York 9/26/2017
B
Connecticut 9/26/2017
B
North Carolina 10/9/2017
IA
Connecticut 9/26/2017
B
North Dakota 10/9/2017
B
Delaware 10/9/2017
B
Ohio 10/9/2017
B
District of Columbia 10/9/2017
B
Oklahoma 10/9/2017
B
Florida 9/26/2017
B
Oregon 10/5/2017
B
Georgia 9/26/2017
B
Pennsylvania 10/5/2017
B
Hawaii 10/9/2017
B
Puerto Rico 10/5/2017
B
Idaho 10/9/2017
B
Rhode Island 9/26/2017
B
Illinois 10/9/2017
B
South Carolina 10/5/2017
B
Indiana 10/9/2017
B
South Dakota 10/5/2017
B
Iowa 10/9/2017
B
Tennessee 10/5/2017
B
Kansas 10/9/2017
B
Texas 10/5/2017
B
Kentucky 10/9/2017
IA
Texas 10/6/2017
B
Louisiana 10/9/2017
B
Utah 10/5/2017
B
Maine 10/9/2017
B
Vermont 9/26/2017
B
Maryland 10/9/2017
B
Virgin Islands 10/5/2017
B
Massachusetts 9/26/2017
B
Virginia 10/5/2017
B
Michigan 10/9/2017
B
Washington 10/5/2017
B
Minnesota 10/9/2017
B
West Virginia 10/5/2017
B
Mississippi 10/9/2017
B
Wisconsin 10/5/2017
B
Missouri 10/9/2017
B
Wyoming 10/5/2017
B
Montana 10/9/2017
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 9/26/2017
B
Registered with this firm since 9/26/2017
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 11/30/2016 - 08/28/2017 | WEST HARTFORD, CT | |
IA | 05/09/2013 - 11/28/2016 | HARTFORD, CT | |
B | 05/01/2013 - 11/28/2016 | HARTFORD, CT | |
B | 08/22/2011 - 04/02/2013 | WEST HARTFORD, CT |
For additional information about investment advisers or broker-dealers, please visit
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.