Individual Firm
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JOSEPH SEFARADI
CRD#: 5987228
IA
B
MORGAN STANLEYCRD#: 149777 1200 Franklin Avenue
2Nd Floor
Garden City, NY 11530
2Nd Floor
Garden City, NY 11530
View By:
11/22/2016
Customer Dispute
Denied
State Registrations
B
Arizona 2/3/2023
B
Nevada 11/10/2022
B
California 11/10/2022
B
New Jersey 11/10/2022
B
Colorado 11/10/2022
B
New Mexico 11/10/2022
B
Connecticut 11/10/2022
B
New York 11/10/2022
B
Delaware 2/3/2023
IA
New York 11/10/2022
B
District of Columbia 11/10/2022
B
North Carolina 11/10/2022
B
Florida 11/10/2022
B
Ohio 11/10/2022
B
Georgia 11/10/2022
B
Oregon 2/3/2023
B
Hawaii 11/10/2022
B
Pennsylvania 11/10/2022
B
Illinois 11/23/2022
B
Puerto Rico 1/24/2025
B
Indiana 2/3/2023
B
Rhode Island 2/3/2023
B
Kansas 2/3/2023
B
South Carolina 2/3/2023
B
Louisiana 2/3/2023
B
Tennessee 8/24/2023
B
Maine 11/10/2022
B
Texas 11/10/2022
B
Maryland 11/10/2022
IA
Texas 11/10/2022
B
Massachusetts 11/10/2022
B
Utah 11/10/2022
B
Michigan 11/10/2022
B
Virginia 11/10/2022
B
Mississippi 11/10/2022
B
Washington 11/10/2022
B
Missouri 2/3/2023
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 11/10/2022
B
Registered with this firm since 11/10/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/08/2014 - 11/11/2022 | NEW YORK, NY | |
B | 10/01/2012 - 11/11/2022 | NEW YORK, NY | |
B | 11/05/2011 - 10/01/2012 | NEW YORK, NY |
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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.