Individual Firm
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.
JANICE BAUZA OEXEMAN
JANICE MAE BAUZA
CRD#: 713893
IA
B
MORGAN STANLEYCRD#: 149777 14805 North Outer forty Road Suite 200
Chesterfield, MO 63017
Chesterfield, MO 63017
0
Disclosures
44
Years of Experience
View By:
State Registrations
B
Alabama 11/4/2019
B
Montana 7/23/2020
B
Alaska 7/14/2015
B
New Jersey 6/1/2009
B
Arizona 6/1/2009
B
New Mexico 6/1/2009
B
Arkansas 4/26/2023
B
New York 6/1/2009
B
California 6/1/2009
B
North Carolina 3/17/2022
B
Colorado 6/1/2009
B
North Dakota 8/2/2022
B
Connecticut 3/17/2022
B
Ohio 10/31/2011
B
Florida 6/1/2009
IA
Ohio 10/31/2011
B
Georgia 7/9/2020
B
Oklahoma 2/19/2021
B
Illinois 6/1/2009
B
Oregon 6/1/2009
B
Indiana 6/1/2009
B
Pennsylvania 6/1/2009
B
Iowa 3/17/2022
B
Puerto Rico 1/10/2024
B
Kansas 6/1/2009
B
Rhode Island 6/1/2009
B
Kentucky 11/27/2019
B
South Carolina 7/17/2018
B
Louisiana 3/17/2022
B
Texas 6/1/2009
B
Maryland 7/6/2020
IA
Texas 3/3/2020
B
Massachusetts 3/17/2022
B
Vermont 8/28/2024
B
Michigan 6/1/2009
B
Virginia 6/1/2009
IA
Michigan 11/1/2011
B
Washington 3/17/2022
B
Minnesota 3/17/2022
B
West Virginia 7/22/2020
B
Missouri 6/1/2009
B
Wisconsin 6/1/2009
IA
Missouri 6/1/2009
B
Wyoming 6/1/2009
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 6/1/2009
B
Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/01/1995 - 06/01/2009 | ST. LOUIS, MO | |
B | 07/31/1993 - 06/01/2009 | ST. LOUIS, MO | |
B | 05/14/1988 - 07/31/1993 | NEW YORK, NY | |
B | 08/19/1980 - 05/14/1988 |
For additional information about investment advisers or broker-dealers, please visit
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.