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STATTON KLEE FRANK
STATTON FRANK
CRD#: 6037870
IA
B
MORGAN STANLEYCRD#: 149777 1100 Poydras Street
Suite 1900
New Orleans, LA 70163
Suite 1900
New Orleans, LA 70163
0
Disclosures
12
Years of Experience
View By:
State Registrations
B
Alabama 8/27/2019
B
Mississippi 7/29/2019
B
Arizona 2/9/2022
B
Missouri 2/17/2022
B
Arkansas 2/9/2024
B
Montana 3/7/2023
B
California 4/29/2020
B
New Mexico 1/16/2020
B
Colorado 4/29/2020
B
New York 11/3/2021
B
Connecticut 2/9/2022
B
North Carolina 3/18/2022
B
Delaware 10/6/2021
B
Ohio 12/20/2024
B
District of Columbia 10/12/2023
B
Oklahoma 8/12/2019
B
Florida 1/16/2020
B
Oregon 5/26/2022
B
Georgia 2/19/2021
B
Pennsylvania 2/9/2022
B
Idaho 2/9/2022
B
Puerto Rico 6/2/2022
B
Illinois 5/10/2024
B
Rhode Island 2/9/2022
B
Indiana 10/12/2023
B
South Carolina 5/17/2022
B
Kansas 2/9/2022
B
Tennessee 7/29/2019
B
Kentucky 8/12/2019
B
Texas 7/29/2019
B
Louisiana 7/29/2019
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Texas 7/29/2019
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Louisiana 7/29/2019
B
Utah 5/10/2022
B
Maryland 2/18/2022
B
Virginia 2/9/2022
B
Massachusetts 1/4/2022
B
Washington 2/9/2022
B
Michigan 4/29/2020
B
Wisconsin 2/9/2022
SRO Registrations
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IA
Registered with this firm since 7/29/2019
B
Registered with this firm since 7/29/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/04/2017 - 07/31/2019 | NEW ORLEANS, LA | |
B | 04/04/2017 - 07/31/2019 | NEW ORLEANS, LA | |
B | 04/21/2016 - 03/13/2017 | NEW ORLEANS, LA | |
IA | 05/21/2012 - 04/18/2016 | NEW ORLEANS, LA | |
B | 04/20/2012 - 04/18/2016 | NEW ORLEANS, LA |
NEW ORLEANS, LA
05/21/2012 - 04/18/2016
NEW ORLEANS, LA
04/20/2012 - 04/18/2016
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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.