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Detailed Report
ALEXANDER CUTTING PLUM
ALEX PLUM, ALEXANDER C PLUM
CRD#: 6096297
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 55 East 52nd Street
30th Floor
New York, NY 10055
Registration History
201320142015201620172018201920202021202220232024202520262 FIRMS2020 - 2021 (1 year)2 FIRMS2022 - 2023 (<1 year)2 FIRMS2023 - Present (2 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2013 - 2018 (4 years)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2014 - 2018 (4 years)
License(s)

State Registrations

B
Arkansas 2/27/2024
B
New Jersey 3/17/2023
B
California 3/17/2023
B
New York 3/17/2023
B
Colorado 3/17/2023
IA
New York 3/17/2023
B
Connecticut 3/17/2023
B
North Carolina 3/17/2023
B
Delaware 3/17/2023
B
Ohio 3/17/2023
B
District of Columbia 3/17/2023
B
Pennsylvania 3/17/2023
B
Florida 3/17/2023
IA
Pennsylvania 3/20/2023
B
Georgia 3/17/2023
B
Rhode Island 3/17/2023
B
Illinois 3/17/2023
B
South Carolina 3/17/2023
B
Louisiana 3/17/2023
B
South Dakota 3/17/2023
B
Maryland 3/17/2023
B
Tennessee 9/21/2023
B
Massachusetts 3/17/2023
B
Texas 3/17/2023
B
Michigan 3/17/2023
IA
Texas 3/20/2023
B
Missouri 3/17/2023
B
Utah 3/17/2023
B
Nebraska 3/17/2023
B
Virginia 3/17/2023
B
Nevada 3/17/2023
B
Washington 3/17/2023

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)
55 East 52nd Street 30th Floor, New York, NY 10055
Philadelphia, PA
Registered with this firm since 3/17/2023
B
MORGAN STANLEY (CRD#:149777)
55 East 52nd Street 30th Floor, New York, NY 10055
Philadelphia, PA
Registered with this firm since 3/17/2023
Previous Registration(s)
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IA
 11/29/2022 - 04/10/2023 FIRST REPUBLIC INVESTMENT MANAGEMENT, INC. (CRD#:108559) New York, NY
B
 11/30/2022 - 04/10/2023 FIRST REPUBLIC SECURITIES COMPANY, LLC (CRD#:105108) NEW YORK, NY
IA
 07/28/2020 - 08/29/2021 GWN SECURITIES INC. (CRD#:128929) ISELIN, NJ
B
 07/07/2020 - 08/29/2021 GWN SECURITIES INC. (CRD#:128929) ISELIN, NJ
IA
 05/12/2014 - 07/27/2018 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
 12/23/2013 - 07/27/2018 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) 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.