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Detailed Report
Andrew Marks
ANDREW FREDERICK MARKS
CRD#: 6349482
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 28 State Street 26Th Floor
Boston, MA 02110
Registration History
2018201920202021202220232024202520262 FIRMS2018 - Present (6 years)
License(s)

State Registrations

B
Arizona 7/9/2018
B
Nevada 7/9/2018
B
Arkansas 7/9/2018
B
New Hampshire 7/9/2018
B
California 7/9/2018
B
New Jersey 7/9/2018
B
Colorado 7/9/2018
B
New York 7/9/2018
B
Connecticut 7/3/2018
B
North Carolina 7/11/2018
IA
Connecticut 7/3/2018
B
Ohio 4/5/2024
B
Delaware 7/9/2018
B
Oregon 7/9/2018
B
District of Columbia 7/9/2018
B
Pennsylvania 7/9/2018
B
Florida 7/9/2018
B
Puerto Rico 7/9/2018
B
Georgia 7/9/2018
B
Rhode Island 7/9/2018
B
Hawaii 7/9/2018
B
South Carolina 7/9/2018
B
Illinois 7/9/2018
B
South Dakota 7/9/2018
B
Iowa 7/9/2018
B
Tennessee 5/20/2021
B
Kansas 5/2/2023
B
Texas 7/9/2018
B
Louisiana 12/2/2022
IA
Texas 4/1/2020
B
Maine 7/9/2018
B
Utah 9/18/2024
B
Maryland 7/9/2018
B
Vermont 7/9/2018
B
Massachusetts 7/3/2018
B
Virgin Islands 7/9/2018
B
Michigan 12/17/2020
B
Virginia 7/9/2018
B
Minnesota 7/9/2018
B
Washington 7/9/2018
B
Mississippi 3/24/2022
B
West Virginia 12/6/2023
B
Montana 7/9/2018
B
Wisconsin 7/9/2018

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)
28 State Street 26Th Floor, Boston, MA 02110
Registered with this firm since 7/3/2018
B
MORGAN STANLEY (CRD#:149777)
28 State Street 26Th Floor, Boston, MA 02110
Registered with this firm since 5/23/2018
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.