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Detailed Report
KWAME ADUSEI
CRD#: 6166926
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Previous Investment Adviser
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Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has suspended this individual from acting as a broker. Please see the detailed report for more information
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
2013201420152016201720182019202020212022202320242025IAMORGAN STANLEY (CRD# 149777)2022 - 2023 (1 year)IAJ.P. MORGAN SECURITIES LLC (CRD# 79)2015 - 2022 (6 years)IAWELLS FARGO ADVISORS, LLC (CRD# 19616)2013 - 2015 (1 year)
Disclosure(s)
View By:
2/28/2024
Regulatory
Final
12/14/2023
Regulatory
Final
12/8/2023
Customer Dispute
Pending
7/24/2023
Employment Separation After Allegations
6/2/2023
Customer Dispute
Settled
Previous Registration(s)
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 01/14/2022 - 08/07/2023 MORGAN STANLEY (CRD#:149777) POUGHKEEPSIE, NY
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 04/08/2015 - 01/15/2022 J.P. MORGAN SECURITIES LLC (CRD#:79) BREWSTER, NY
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 12/18/2013 - 01/28/2015 WELLS FARGO ADVISORS, LLC (CRD#:19616) CHAPPAQUA, NY
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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
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.