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Detailed Report
ANTHONY A FARINA
A.J. FARINA, ANTHONY FARINA
CRD#: 5920454
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 340 Mount Kemble Avenue
Morristown, NJ 07960
Registration History
201220142016201820202022202420262 FIRMS2012 - Present (12 years)BJOHN THOMAS FINANCIAL (CRD# 40982)2011 - 2011 (<1 year)
License(s)

State Registrations

B
Alabama 7/27/2023
B
New Jersey 11/6/2012
B
Arizona 8/12/2014
IA
New Jersey 11/12/2012
B
California 1/4/2017
B
New York 11/12/2012
B
Colorado 1/4/2017
B
North Carolina 1/5/2017
B
Connecticut 2/20/2014
B
Ohio 2/11/2023
B
Delaware 1/4/2017
B
Oklahoma 4/22/2022
B
Florida 3/20/2013
B
Oregon 1/4/2017
B
Georgia 2/26/2016
B
Pennsylvania 12/23/2016
B
Hawaii 5/7/2018
B
Puerto Rico 5/10/2021
B
Illinois 1/4/2017
B
South Carolina 1/4/2017
B
Iowa 10/12/2021
B
South Dakota 8/31/2023
B
Louisiana 4/4/2022
B
Tennessee 1/19/2017
B
Maine 1/4/2017
B
Texas 1/19/2016
B
Maryland 10/28/2022
IA
Texas 4/2/2020
B
Massachusetts 2/18/2015
B
Utah 7/23/2021
B
Michigan 2/18/2015
B
Vermont 10/12/2021
B
Nevada 3/10/2017
B
Virginia 1/19/2017
B
New Hampshire 12/20/2019
B
Wisconsin 5/20/2021

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)
340 Mount Kemble Avenue, Morristown, NJ 07960
Registered with this firm since 11/12/2012
B
MORGAN STANLEY (CRD#:149777)
340 Mount Kemble Avenue, Morristown, NJ 07960
Registered with this firm since 11/6/2012
Previous Registration(s)
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B
 08/03/2011 - 10/12/2011 JOHN THOMAS FINANCIAL (CRD#:40982)
FINRA expelled the firm on 10/31/2013
NEW YORK, NY
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.