Individual Firm
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ERIN MCCARTHY HALPRIN
ERIN NICOLE MCCARTHY, ERIN MCCARTHY
CRD#: 5708424
IA
B
MORGAN STANLEYCRD#: 149777 2800 Post Oak Boulevard
18th Floor
Houston, TX 77056
18th Floor
Houston, TX 77056
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6/13/2022
Customer Dispute
Denied
6/13/2022
Customer Dispute
Denied
State Registrations
B
Alabama 5/5/2022
B
Massachusetts 5/5/2022
B
Arizona 2/24/2025
B
New Jersey 5/5/2022
B
Arkansas 5/5/2022
B
New York 5/5/2022
B
California 5/5/2022
B
North Carolina 5/5/2022
B
Colorado 5/5/2022
B
Oklahoma 5/5/2022
B
Delaware 2/1/2024
B
Pennsylvania 5/5/2022
B
Illinois 5/5/2022
B
Texas 5/5/2022
B
Indiana 5/5/2022
IA
Texas 5/5/2022
B
Louisiana 10/31/2024
B
Virginia 5/5/2022
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 5/5/2022
B
Registered with this firm since 5/5/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/12/2014 - 05/06/2022 | HOUSTON, TX | |
B | 03/27/2013 - 05/06/2022 | HOUSTON, TX | |
B | 09/15/2009 - 07/26/2012 | DALLAS, TX |
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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.