Individual Firm
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MATTHEW C HENNING
MATTHEW HENNING, Matthew C Henning
CRD#: 6151337
IA
B
MORGAN STANLEYCRD#: 149777 800 East 96th Street
Suite 400
Indianapolis, IN 46240
Suite 400
Indianapolis, IN 46240
View By:
6/30/2021
Customer Dispute
Denied
State Registrations
B
Alabama 2/23/2024
B
New Jersey 6/11/2024
B
California 2/23/2024
B
New York 3/5/2024
B
Connecticut 2/23/2024
B
North Carolina 2/23/2024
B
Delaware 4/3/2024
B
Tennessee 2/23/2024
B
Florida 2/23/2024
B
Texas 2/23/2024
B
Illinois 4/5/2024
IA
Texas 2/23/2024
B
Indiana 2/23/2024
B
Utah 2/23/2024
IA
Indiana 2/23/2024
B
Wyoming 2/23/2024
B
Nevada 2/23/2024
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 2/23/2024
B
Registered with this firm since 2/23/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/05/2019 - 02/27/2024 | INDIANAPOLIS, IN | |
B | 10/31/2019 - 02/27/2024 | INDIANAPOLIS, IN | |
B | 02/22/2013 - 10/30/2019 | INDIANAPOLIS, IN |
INDIANAPOLIS, IN
11/05/2019 - 02/27/2024
INDIANAPOLIS, IN
10/31/2019 - 02/27/2024
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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.