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BRIAN SWEDROCK
BRIAN PHILIP SWEDROCK
CRD#: 6425544
IA
B
MORGAN STANLEYCRD#: 149777 500 Post Road East
3Rd Floor
Westport, CT 06880
3Rd Floor
Westport, CT 06880
0
Disclosures
9
Years of Experience
View By:
State Registrations
B
Alabama 9/17/2024
B
Missouri 9/16/2024
B
Alaska 9/23/2024
B
Montana 9/19/2024
B
Arizona 9/25/2024
B
Nevada 9/16/2024
B
California 9/17/2024
B
New Hampshire 9/19/2024
B
Colorado 9/17/2024
B
New Jersey 9/16/2024
B
Connecticut 9/16/2024
B
New Mexico 9/17/2024
IA
Connecticut 9/17/2024
B
New York 9/17/2024
B
Delaware 9/24/2024
B
North Carolina 9/19/2024
B
District of Columbia 9/18/2024
B
Ohio 9/16/2024
B
Florida 9/17/2024
B
Oklahoma 9/17/2024
B
Georgia 9/18/2024
B
Oregon 9/17/2024
B
Hawaii 9/17/2024
B
Pennsylvania 9/17/2024
B
Idaho 9/16/2024
B
Rhode Island 12/9/2024
B
Illinois 10/7/2024
B
South Carolina 9/18/2024
B
Indiana 9/17/2024
B
South Dakota 9/18/2024
B
Iowa 9/16/2024
B
Tennessee 9/17/2024
B
Kansas 9/16/2024
IA
Texas 9/16/2024
B
Kentucky 9/17/2024
B
Texas 9/17/2024
B
Louisiana 9/17/2024
B
Utah 9/17/2024
B
Maine 9/17/2024
B
Vermont 9/17/2024
B
Maryland 9/20/2024
B
Virginia 9/16/2024
B
Massachusetts 9/18/2024
B
Washington 9/16/2024
B
Michigan 9/18/2024
B
West Virginia 9/18/2024
B
Minnesota 9/17/2024
B
Wisconsin 9/17/2024
B
Mississippi 9/16/2024
B
Wyoming 9/17/2024
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 9/16/2024
B
Registered with this firm since 9/16/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/16/2016 - 09/09/2024 | Stamford, CT | |
B | 02/01/2016 - 09/09/2024 | Stamford, CT |
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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.