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Detailed Report
GLADYS LUGO
Gladys Guzman de Alba
CRD#: 7013732
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 55 South Lake Avenue Pasadena Towers - Tower II
Suite 700
Pasadena, CA 91101
Registration History
Oct2022AprJulOct2023AprJulOct2024AprJulOct2025AprJulOct2026Apr2 FIRMS2022 - Present (2 years)
License(s)

State Registrations

B
Alabama 10/5/2022
B
Nebraska 10/5/2022
B
Alaska 7/13/2023
B
Nevada 10/5/2022
B
Arizona 10/5/2022
B
New Hampshire 10/5/2022
B
Arkansas 10/5/2022
B
New Jersey 10/5/2022
B
California 9/2/2022
B
New Mexico 10/5/2022
IA
California 9/2/2022
B
New York 10/5/2022
B
Colorado 10/5/2022
B
North Carolina 10/5/2022
B
Connecticut 10/5/2022
B
North Dakota 10/5/2022
B
Delaware 10/5/2022
B
Ohio 10/6/2022
B
District of Columbia 10/5/2022
B
Oklahoma 11/29/2022
B
Florida 10/5/2022
B
Oregon 10/5/2022
B
Georgia 10/5/2022
B
Pennsylvania 10/5/2022
B
Hawaii 10/5/2022
B
Rhode Island 10/5/2022
B
Idaho 10/5/2022
B
South Carolina 10/5/2022
B
Illinois 10/5/2022
B
South Dakota 10/5/2022
B
Indiana 11/29/2022
B
Tennessee 10/5/2022
B
Kansas 10/5/2022
B
Texas 10/5/2022
B
Kentucky 3/14/2023
IA
Texas 10/10/2022
B
Maryland 10/5/2022
B
Utah 10/5/2022
B
Massachusetts 11/29/2022
B
Vermont 5/9/2024
B
Michigan 10/5/2022
B
Virginia 10/5/2022
B
Minnesota 6/13/2023
B
Washington 10/5/2022
B
Mississippi 2/27/2023
B
Wyoming 10/5/2022
B
Montana 10/5/2022

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)
55 South Lake Avenue Pasadena Towers - Tower II Suite 700, Pasadena, CA 91101
Registered with this firm since 9/2/2022
B
MORGAN STANLEY (CRD#:149777)
55 South Lake Avenue Pasadena Towers - Tower II Suite 700, Pasadena, CA 91101
Registered with this firm since 5/12/2022
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.