Individual Firm
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Jorge Luis Rey-Prada
CRD#: 6139380
IA
B
MORGAN STANLEYCRD#: 149777 700 Main Street
Suite 315
Napa, CA 94559
Suite 315
Napa, CA 94559
0
Disclosures
10
Years of Experience
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State Registrations
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Alabama 12/3/2020
B
Montana 4/16/2019
B
Alaska 3/25/2020
B
Nebraska 4/30/2024
B
Arizona 4/16/2019
B
Nevada 4/16/2019
B
Arkansas 4/16/2019
B
New Jersey 4/16/2019
B
California 4/5/2019
B
New Mexico 5/21/2020
IA
California 4/5/2019
B
New York 4/16/2019
B
Colorado 4/16/2019
B
North Carolina 4/16/2019
B
Connecticut 5/20/2020
B
Ohio 5/1/2024
B
Delaware 10/30/2024
B
Oklahoma 4/30/2024
B
Florida 4/16/2019
B
Oregon 4/16/2019
B
Georgia 4/16/2019
B
Pennsylvania 4/16/2019
B
Hawaii 4/16/2019
B
Rhode Island 4/30/2024
B
Idaho 4/16/2019
B
South Carolina 4/16/2019
B
Illinois 4/16/2019
B
Tennessee 4/16/2019
B
Iowa 4/16/2019
B
Texas 4/16/2019
B
Kansas 4/16/2019
IA
Texas 2/25/2020
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Louisiana 9/17/2021
B
Utah 5/20/2020
B
Maryland 4/16/2019
B
Virginia 4/16/2019
B
Massachusetts 4/16/2019
B
Washington 4/16/2019
B
Michigan 4/16/2019
B
Wisconsin 4/16/2019
B
Minnesota 4/16/2019
B
Wyoming 4/16/2019
B
Missouri 4/30/2024
SRO Registrations
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IA
Registered with this firm since 4/5/2019
B
Registered with this firm since 4/5/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/16/2016 - 04/10/2019 | WALNUT CREEK, CA | |
B | 03/16/2016 - 04/10/2019 | WALNUT CREEK, CA | |
IA | 02/25/2015 - 11/10/2015 | SAN FRANCISCO, CA | |
B | 07/16/2014 - 11/10/2015 | SAN FRANCISCO, CA |
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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.