Individual Firm
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JOHN BROCKENBROUGH MOTT
JOHN BROCKENBRO MOTT
CRD#: 717201
IA
B
MORGAN STANLEYCRD#: 149777 15021 Katy Freeway
Suite 650
Houston, TX 77094
Suite 650
Houston, TX 77094
0
Disclosures
43
Years of Experience
View By:
State Registrations
B
Alabama 5/8/2020
B
Mississippi 9/1/2023
B
Arizona 11/1/2016
B
Missouri 8/23/2024
B
California 6/1/2009
B
New York 9/20/2017
B
Colorado 6/1/2009
B
North Carolina 8/27/2024
B
District of Columbia 6/7/2023
B
Ohio 2/11/2025
B
Florida 9/8/2016
B
Oklahoma 6/1/2009
B
Georgia 2/7/2019
IA
Oklahoma 6/1/2009
B
Illinois 6/8/2020
B
Pennsylvania 5/5/2023
B
Kansas 7/21/2023
B
South Carolina 10/30/2020
B
Kentucky 11/2/2020
B
South Dakota 8/25/2023
B
Louisiana 6/1/2009
B
Texas 6/1/2009
B
Maryland 5/28/2020
IA
Texas 6/1/2009
B
Massachusetts 7/17/2020
B
Virginia 4/19/2023
B
Michigan 3/24/2023
B
Washington 11/24/2017
B
Minnesota 6/14/2023
B
West Virginia 6/1/2009
SRO Registrations
B
B
B
B
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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 | 07/31/1993 - 06/01/2009 | HOUSTON, TX | |
B | 07/31/1993 - 06/01/2009 | HOUSTON, TX | |
B | 07/09/1992 - 07/31/1993 | NEW YORK, NY | |
B | 10/19/1990 - 06/26/1992 | NEW YORK, NY | |
B | 12/15/1986 - 10/23/1990 | NEW YORK, NY | |
B | 10/27/1986 - 01/06/1987 | ||
B | 07/26/1983 - 09/27/1985 | ||
B | 05/11/1981 - 04/20/1983 | ||
B | 10/22/1980 - 06/08/1981 |
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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.