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Detailed Report
TONI JO SPROUSE
TONI JO COX, TONI SPROUSE, TONI JO VENEZIA-SIEGERT
CRD#: 5969023
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 3562 Round Barn Circle
1St Floor
Santa Rosa, CA 95403
Registration History
201220142016201820202022202420262 FIRMS2012 - 2014 (1 year)2 FIRMS2014 - Present (11 years)BWELLS FARGO ADVISORS, LLC (CRD# 19616)2011 - 2012 (<1 year)IAWELLS FARGO ADVISORS, LLC (CRD# 19616)2012 - 2012 (<1 year)
License(s)

State Registrations

B
Alaska 9/17/2021
B
Montana 2/17/2022
B
Arizona 9/27/2016
B
Nevada 6/17/2015
B
Arkansas 10/27/2023
B
New Jersey 1/5/2022
B
California 1/17/2014
B
New Mexico 12/15/2021
IA
California 1/17/2014
B
New York 6/17/2015
B
Colorado 6/29/2017
B
North Carolina 10/8/2015
B
Connecticut 10/7/2015
B
Ohio 9/15/2022
B
District of Columbia 6/3/2024
B
Oklahoma 7/5/2024
B
Florida 6/17/2015
B
Oregon 10/7/2015
B
Georgia 10/27/2023
B
Rhode Island 6/3/2024
B
Hawaii 8/1/2017
B
South Carolina 8/29/2017
B
Idaho 3/22/2017
B
Tennessee 6/29/2017
B
Illinois 10/27/2023
B
Texas 10/7/2015
B
Indiana 6/3/2024
IA
Texas 2/25/2020
B
Louisiana 6/29/2021
B
Utah 10/27/2023
B
Maine 7/10/2019
B
Virgin Islands 7/5/2024
B
Maryland 7/5/2024
B
Virginia 3/24/2020
B
Massachusetts 6/3/2024
B
Washington 6/16/2014
B
Michigan 10/27/2023
B
Wisconsin 6/3/2024
B
Minnesota 10/27/2023
B
Wyoming 6/29/2017

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)
3562 Round Barn Circle 1St Floor, Santa Rosa, CA 95403
Registered with this firm since 1/17/2014
B
MORGAN STANLEY (CRD#:149777)
3562 Round Barn Circle 1St Floor, Santa Rosa, CA 95403
Registered with this firm since 1/17/2014
Previous Registration(s)
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IA
 03/08/2012 - 01/21/2014 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SANTA ROSA, CA
B
 03/07/2012 - 01/21/2014 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SANTA ROSA, CA
IA
 02/29/2012 - 03/12/2012 WELLS FARGO ADVISORS, LLC (CRD#:19616) SANTA ROSA, CA
B
 11/05/2011 - 03/12/2012 WELLS FARGO ADVISORS, LLC (CRD#:19616) SANTA ROSA, CA
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.