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
Jaswant Paul Brar
JASWANT PAUL BRAR, Jaswant Brar
CRD#: 6947478
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 1901 Main Street
Suite 700
Irvine, CA 92614
Registration History
201920202021202220232024202520262 FIRMS2019 - 2020 (1 year)2 FIRMS2020 - Present (5 years)
License(s)

State Registrations

B
Alabama 6/15/2022
B
Michigan 7/28/2021
B
Alaska 8/29/2024
B
Minnesota 6/9/2022
B
Arizona 12/3/2020
B
Missouri 2/10/2023
B
Arkansas 6/15/2022
B
Montana 3/16/2023
B
California 4/21/2020
B
Nevada 11/19/2021
IA
California 4/21/2020
B
New Jersey 7/15/2020
B
Colorado 10/29/2021
B
New Mexico 8/19/2022
B
Connecticut 10/13/2021
B
New York 2/1/2021
B
Delaware 10/13/2021
B
North Carolina 12/3/2020
B
District of Columbia 6/15/2022
B
Ohio 6/16/2022
B
Florida 10/13/2021
B
Oregon 2/1/2021
B
Georgia 12/17/2020
B
Pennsylvania 10/13/2021
B
Hawaii 6/9/2022
B
Rhode Island 6/9/2022
B
Idaho 6/9/2022
B
Tennessee 3/1/2022
B
Illinois 10/13/2021
B
Texas 11/19/2021
B
Indiana 11/19/2021
IA
Texas 11/29/2021
B
Iowa 1/19/2022
B
Utah 9/24/2021
B
Louisiana 3/1/2022
B
Virginia 2/1/2021
B
Maine 4/1/2022
B
Washington 12/3/2020
B
Maryland 12/3/2020
B
Wyoming 8/27/2024
B
Massachusetts 3/1/2022

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)
1901 Main Street Suite 700, Irvine, CA 92614
Registered with this firm since 4/21/2020
B
MORGAN STANLEY (CRD#:149777)
1901 Main Street Suite 700, Irvine, CA 92614
Registered with this firm since 4/21/2020
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/09/2019 - 03/31/2020 SAGEPOINT FINANCIAL, INC. (CRD#:133763) NEWPORT BEACH, CA
B
 03/29/2019 - 03/31/2020 SAGEPOINT FINANCIAL, INC. (CRD#:133763) NEWPORT BEACH, CA
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.