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JAMES RAY GARZA
JAMES GARZA
CRD#: 6597212
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 2121 North Pearl Street
Ste. 500
Dallas, TX 75201
Registration History
20172018201920202021202220232024202520262 FIRMS2018 - 2019 (1 year)2 FIRMS2019 - 2020 (<1 year)2 FIRMS2020 - 2023 (3 years)2 FIRMS2023 - Present (1 year)BTD AMERITRADE, INC. (CRD# 7870)2017 - 2019 (2 years)
License(s)

State Registrations

B
Alabama 1/10/2023

B
Nebraska 1/12/2023

B
Alaska 3/15/2023

B
Nevada 9/5/2023

B
Arizona 1/10/2023

B
New Hampshire 1/10/2023

B
Arkansas 1/10/2023

B
New Jersey 1/10/2023

B
California 1/10/2023

B
New Mexico 1/10/2023

B
Colorado 1/10/2023

B
New York 1/10/2023

B
Connecticut 1/10/2023

B
North Carolina 9/5/2023

B
Delaware 1/10/2023

B
North Dakota 1/10/2023

B
District of Columbia 1/10/2023

B
Ohio 1/11/2023

B
Florida 1/10/2023

B
Oklahoma 1/10/2023

B
Georgia 1/10/2023

B
Oregon 5/9/2023

B
Hawaii 1/10/2023

B
Pennsylvania 9/5/2023

B
Idaho 1/10/2023

B
Puerto Rico 1/10/2023

B
Illinois 1/10/2023

B
Rhode Island 1/10/2023

B
Indiana 1/10/2023

B
South Carolina 1/10/2023

B
Iowa 1/10/2023

B
South Dakota 1/10/2023

B
Kansas 1/10/2023

B
Tennessee 1/10/2023

B
Kentucky 1/10/2023

B
Texas 1/10/2023

B
Louisiana 1/10/2023

IA
Texas 9/5/2023

B
Maine 1/10/2023

B
Utah 2/8/2023

B
Maryland 1/10/2023

B
Vermont 1/10/2023

B
Massachusetts 2/28/2023

B
Virgin Islands 1/10/2023

B
Michigan 1/10/2023

B
Virginia 7/24/2023

B
Minnesota 1/10/2023

B
Washington 1/10/2023

B
Mississippi 1/10/2023

B
West Virginia 3/27/2023

B
Missouri 1/10/2023

B
Wisconsin 1/10/2023

B
Montana 1/10/2023

B
Wyoming 1/10/2023

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)
2121 North Pearl Street Ste. 500, Dallas, TX 75201
Registered with this firm since 9/5/2023

B
MORGAN STANLEY (CRD#:149777)
2121 North Pearl Street Ste. 500, Dallas, TX 75201
Registered with this firm since 1/10/2023

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
07/30/2020 - 09/05/2023 E*TRADE CAPITAL MANAGEMENT, LLC (CRD#:42159) Dallas, TX
B
07/30/2020 - 09/05/2023 E*TRADE SECURITIES LLC (CRD#:29106) Dallas, TX
IA
09/20/2019 - 08/07/2020 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) ROANOKE, TX
B
09/20/2019 - 08/07/2020 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) ROANOKE, TX
IA
05/04/2018 - 09/03/2019 TD AMERITRADE INVESTMENT MANAGEMENT, LLC (CRD#:111514) Southlake, TX
IA
05/04/2018 - 09/03/2019 TD AMERITRADE, INC. (CRD#:7870) Southlake, TX
B
05/12/2017 - 09/03/2019 TD AMERITRADE, INC. (CRD#:7870) Southlake, TX
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
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.