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Detailed Report
William J Netterwald
WILLIAM JOSEPH NETTERWALD
CRD#: 6402651
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 200 South Biscayne Boulevard
Suite 1100
Miami, FL 33131
Registration History
2015201620172018201920202021202220232024202520262 FIRMS2021 - Present (3 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2015 - 2021 (5 years)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2016 - 2021 (5 years)
License(s)

State Registrations

B
Arkansas 1/26/2023
B
Missouri 1/26/2023
B
California 10/18/2021
B
New Jersey 10/18/2021
B
Connecticut 10/18/2021
B
New York 10/18/2021
B
Delaware 10/18/2021
B
North Carolina 10/18/2021
B
District of Columbia 1/26/2023
B
Pennsylvania 10/18/2021
B
Florida 10/18/2021
B
Puerto Rico 1/26/2023
IA
Florida 10/19/2021
B
South Dakota 1/26/2023
B
Georgia 10/18/2021
B
Texas 10/18/2021
B
Kentucky 1/26/2023
IA
Texas 10/18/2021
B
Maryland 1/26/2023
B
Virginia 10/18/2021
B
Massachusetts 10/18/2021
B
Wyoming 1/26/2023
B
Michigan 11/7/2024

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)
200 South Biscayne Boulevard Suite 1100, Miami, FL 33131
Registered with this firm since 10/18/2021
B
MORGAN STANLEY (CRD#:149777)
200 South Biscayne Boulevard Suite 1100, Miami, FL 33131
Registered with this firm since 10/18/2021
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 03/15/2016 - 10/12/2021 UBS FINANCIAL SERVICES INC. (CRD#:8174) Los Angeles, CA
B
 11/16/2015 - 10/12/2021 UBS FINANCIAL SERVICES INC. (CRD#:8174) Los Angeles, CA
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.