Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
Cole Weston Baker
CRD#: 6719829
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 1470 Northbank Parkway
Suite 280
Tuscaloosa, AL 35406
Registration History
201620172018201920202021202220232024202520262 FIRMS2016 - Present (8 years)
License(s)

State Registrations

B
Alabama 12/22/2016
B
Mississippi 2/22/2017
IA
Alabama 12/22/2016
B
Missouri 2/22/2017
B
Alaska 2/22/2017
B
Nevada 8/1/2022
B
Arizona 2/22/2017
B
New Jersey 2/22/2017
B
Arkansas 2/22/2017
B
New Mexico 2/22/2017
B
California 2/22/2017
B
New York 2/22/2017
B
Colorado 2/22/2017
B
North Carolina 2/22/2017
B
Connecticut 2/22/2017
B
Ohio 2/22/2017
B
Delaware 2/22/2017
B
Oklahoma 2/22/2017
B
District of Columbia 8/19/2021
B
Pennsylvania 2/22/2017
B
Florida 2/22/2017
B
South Carolina 2/22/2017
B
Georgia 2/22/2017
B
South Dakota 10/20/2022
B
Hawaii 2/22/2017
B
Tennessee 2/22/2017
B
Illinois 2/22/2017
B
Texas 2/22/2017
B
Indiana 10/24/2018
IA
Texas 10/24/2018
B
Kansas 2/22/2017
B
Utah 2/22/2017
B
Kentucky 2/22/2017
B
Virgin Islands 3/11/2024
B
Louisiana 2/22/2017
B
Virginia 2/22/2017
B
Maryland 6/28/2023
B
Washington 2/22/2017
B
Massachusetts 2/22/2017
B
West Virginia 9/1/2017
B
Michigan 2/22/2017
B
Wyoming 2/22/2017

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)
1470 Northbank Parkway Suite 280, Tuscaloosa, AL 35406
3500 Colonnade Parkway Suite 200, Birmingham, AL 35243
Registered with this firm since 12/22/2016
B
MORGAN STANLEY (CRD#:149777)
1470 Northbank Parkway Suite 280, Tuscaloosa, AL 35406
3500 Colonnade Parkway Suite 200, Birmingham, AL 35243
Registered with this firm since 11/9/2016
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.