Individual Firm
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DAVID BALLANTYNE FERRIS II
DAVID B FERRIS JR, DAVID BALLANTYNE FERRIS, David B Ferris
CRD#: 6443667
IA
B
MORGAN STANLEYCRD#: 149777 112 Worcester Street
Wellesley, MA 02481
Wellesley, MA 02481
0
Disclosures
9
Years of Experience
View By:
State Registrations
B
Arizona 5/23/2023
B
New Hampshire 11/12/2021
B
Arkansas 5/23/2023
B
New Jersey 7/25/2022
B
California 11/12/2021
B
New York 11/12/2021
B
Colorado 5/23/2023
B
North Carolina 5/23/2023
B
Connecticut 11/12/2021
B
Ohio 5/24/2023
B
District of Columbia 11/12/2021
B
Oklahoma 11/12/2021
B
Florida 11/12/2021
B
Oregon 5/23/2023
B
Georgia 11/12/2021
B
Pennsylvania 5/23/2023
B
Hawaii 5/23/2023
B
Rhode Island 11/12/2021
B
Idaho 10/26/2022
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Rhode Island 11/12/2021
B
Illinois 5/23/2023
B
South Carolina 11/12/2021
B
Indiana 5/23/2023
B
South Dakota 8/1/2022
B
Louisiana 5/23/2023
B
Tennessee 11/12/2021
B
Maine 11/12/2021
B
Texas 11/12/2021
B
Maryland 11/12/2021
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Texas 11/12/2021
B
Massachusetts 11/12/2021
B
Utah 10/20/2022
B
Michigan 5/23/2023
B
Vermont 11/12/2021
B
Minnesota 11/12/2021
B
Virginia 11/12/2021
B
Mississippi 6/2/2022
B
Washington 11/12/2021
B
Nevada 11/12/2021
B
Wisconsin 11/12/2021
SRO Registrations
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B
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B
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Registered with this firm since 11/12/2021
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Registered with this firm since 11/12/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/02/2015 - 11/16/2021 | WELLESLEY, MA | |
B | 09/30/2015 - 11/16/2021 | WELLESLEY, MA | |
B | 03/16/2015 - 07/08/2015 | WELLESLEY, MA |
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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.