Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
PALLAVI IYER
CRD#: 6128330
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 2725 Sand Hill Road
PWM
Menlo Park, CA 94025
Registration History
201320142015201620172018201920202021202220232024202520262 FIRMS2017 - Present (8 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2014 - 2016 (2 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2013 - 2014 (<1 year)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2015 - 2016 (1 year)
License(s)

State Registrations

B
Alabama 2/9/2017
B
Missouri 1/24/2017
B
Alaska 1/25/2017
B
Montana 1/24/2017
B
Arizona 1/25/2017
B
Nevada 1/24/2017
B
Arkansas 1/25/2017
B
New Hampshire 1/24/2017
B
California 1/17/2017
B
New Jersey 1/24/2017
IA
California 1/17/2017
B
New York 1/24/2017
B
Colorado 1/25/2017
B
North Carolina 1/25/2017
B
Connecticut 1/24/2017
B
Ohio 1/25/2017
B
Delaware 1/24/2017
B
Oklahoma 2/21/2018
B
District of Columbia 1/24/2017
B
Oregon 1/24/2017
B
Florida 1/24/2017
B
Pennsylvania 8/24/2018
B
Georgia 1/24/2017
B
Puerto Rico 1/4/2023
B
Hawaii 1/24/2017
B
Rhode Island 1/24/2017
B
Idaho 1/24/2017
B
South Carolina 1/24/2017
B
Illinois 1/24/2017
B
South Dakota 1/24/2017
B
Indiana 1/24/2017
B
Tennessee 1/27/2017
B
Iowa 9/30/2021
B
Texas 1/24/2017
B
Kansas 12/21/2022
IA
Texas 4/23/2020
B
Kentucky 1/4/2023
B
Utah 1/24/2017
B
Louisiana 1/24/2017
B
Vermont 1/24/2017
B
Maine 12/7/2018
B
Virginia 1/24/2017
B
Maryland 1/24/2017
B
Washington 1/24/2017
B
Massachusetts 1/24/2017
B
West Virginia 1/24/2017
B
Michigan 1/24/2017
B
Wisconsin 1/24/2017
B
Minnesota 5/4/2018
B
Wyoming 1/24/2017
B
Mississippi 1/24/2017

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)
2725 Sand Hill Road PWM, Menlo Park, CA 94025
Registered with this firm since 1/17/2017
B
MORGAN STANLEY (CRD#:149777)
2725 Sand Hill Road PWM, Menlo Park, CA 94025
Registered with this firm since 1/17/2017
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 03/26/2015 - 12/27/2016 UBS FINANCIAL SERVICES INC. (CRD#:8174) PALO ALTO, CA
B
 06/24/2014 - 12/27/2016 UBS FINANCIAL SERVICES INC. (CRD#:8174) PALO ALTO, CA
B
 08/16/2013 - 06/13/2014 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SAN MATEO, 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.