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
Andre Townsend Lafleur
ANDRE LAFLEUR
CRD#: 6774495
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 14850 North Scottsdale Road
Suite 600
Scottsdale, AZ 85254
Registration History
2015201620172018201920202021202220232024202520262 FIRMS2018 - Present (6 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2017 - 2017 (<1 year)
Disclosure(s)
View By:
5/1/2015
Financial
Final
License(s)

State Registrations

B
Alabama 11/2/2018
B
Nebraska 11/2/2018
B
Alaska 11/5/2018
B
Nevada 1/11/2019
B
Arizona 10/22/2018
B
New Hampshire 11/8/2018
IA
Arizona 11/2/2018
B
New Jersey 11/8/2018
B
Arkansas 11/26/2018
B
New Mexico 11/2/2018
B
California 11/2/2018
B
New York 11/2/2018
B
Colorado 11/5/2018
B
North Carolina 11/5/2018
B
Connecticut 11/2/2018
B
North Dakota 11/8/2018
B
Delaware 11/5/2018
B
Ohio 11/2/2018
B
District of Columbia 11/7/2018
B
Oklahoma 11/5/2018
B
Florida 11/5/2018
B
Oregon 11/29/2018
B
Georgia 11/5/2018
B
Pennsylvania 11/7/2018
B
Hawaii 11/2/2018
B
Puerto Rico 11/2/2018
B
Idaho 11/2/2018
B
Rhode Island 11/8/2018
B
Illinois 11/19/2018
B
South Carolina 11/2/2018
B
Indiana 11/2/2018
B
South Dakota 11/6/2018
B
Iowa 11/5/2018
B
Tennessee 11/5/2018
B
Kansas 11/13/2018
B
Texas 11/5/2018
B
Kentucky 11/29/2018
IA
Texas 4/8/2020
B
Louisiana 11/5/2018
B
Utah 11/2/2018
B
Maine 11/5/2018
B
Vermont 11/2/2018
B
Maryland 11/5/2018
B
Virgin Islands 11/13/2018
B
Massachusetts 11/5/2018
B
Virginia 11/2/2018
B
Michigan 11/30/2018
B
Washington 11/2/2018
B
Minnesota 11/2/2018
B
West Virginia 11/19/2018
B
Mississippi 11/9/2018
B
Wisconsin 11/2/2018
B
Missouri 11/27/2018
B
Wyoming 11/2/2018
B
Montana 11/28/2018

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)
14850 North Scottsdale Road Suite 600, Scottsdale, AZ 85254
Registered with this firm since 11/2/2018
B
MORGAN STANLEY (CRD#:149777)
14850 North Scottsdale Road Suite 600, Scottsdale, AZ 85254
Registered with this firm since 10/9/2018
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 06/26/2017 - 10/27/2017 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) CHANDLER, AZ
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.