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JAMES B FERRAIOLI
JAMES FERRAIOLI
CRD#: 6137761
IA
B
MORGAN STANLEYCRD#: 149777 2000 Westchester Avenue
Purchase, NY 10577
Purchase, NY 10577
0
Disclosures
12
Years of Experience
View By:
State Registrations
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Alabama 1/18/2019
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Nevada 1/18/2019
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Alaska 1/18/2019
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New Hampshire 1/18/2019
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Arizona 1/18/2019
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New Jersey 7/25/2013
B
Arkansas 1/18/2019
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New Jersey 8/2/2013
B
California 1/10/2017
B
New Mexico 1/18/2019
B
Colorado 1/18/2019
B
New York 7/25/2013
B
Connecticut 8/5/2016
IA
New York 6/16/2021
B
Delaware 1/18/2019
B
North Carolina 9/29/2016
B
District of Columbia 1/18/2019
B
North Dakota 1/18/2019
B
Florida 10/21/2014
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Ohio 1/18/2019
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Georgia 11/25/2016
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Oklahoma 1/18/2019
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Hawaii 1/18/2019
B
Oregon 1/18/2019
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Idaho 1/18/2019
B
Pennsylvania 6/8/2015
B
Illinois 1/18/2019
B
Puerto Rico 1/18/2019
B
Indiana 1/18/2019
B
Rhode Island 1/18/2019
B
Iowa 1/18/2019
B
South Carolina 1/18/2019
B
Kansas 1/18/2019
B
South Dakota 1/18/2019
B
Kentucky 1/18/2019
B
Tennessee 1/18/2019
B
Louisiana 1/18/2019
B
Texas 1/18/2019
B
Maine 1/18/2019
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Texas 5/4/2020
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Maryland 1/2/2014
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Utah 1/18/2019
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Massachusetts 12/4/2015
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Vermont 1/18/2019
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Michigan 8/28/2015
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Virgin Islands 1/18/2019
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Minnesota 1/18/2019
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Virginia 11/25/2016
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Mississippi 1/18/2019
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Washington 1/18/2019
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Missouri 1/18/2019
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West Virginia 1/18/2019
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Montana 1/18/2019
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Wisconsin 1/18/2019
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Nebraska 1/18/2019
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Wyoming 1/18/2019
SRO Registrations
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IA
Registered with this firm since 8/2/2013
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Registered with this firm since 7/25/2013
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/23/2013 - 07/25/2013 | MORRISTOWN, NJ | |
B | 02/19/2013 - 07/25/2013 | MORRISTOWN, NJ |
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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.
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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.