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Detailed Report
LLOYD FREDERICK MCGLINCY
CRD#: 717292
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 800 East 96th Street
Suite 400
Indianapolis, IN 46240
Registration History
19801985199019952000200520102015202020252 FIRMS2007 - 2015 (8 years)2 FIRMS2015 - Present (9 years)BMCDONALD INVESTMENTS INC. (CRD# 566)1995 - 2007 (12 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1989 - 1995 (5 years)BTHOMSON MCKINNON SECURITIES INC. (CRD# 829)1981 - 1989 (8 years)BBACHE HALSEY STUART SHIELDS IN... (CRD# 7471)1980 - 1981 (<1 year)IAMCDONALD INVESTMENTS INC. (CRD# 566)1999 - 2007 (8 years)
Disclosure(s)
View By:
1/19/2016
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 6/15/2015
B
Minnesota 9/14/2021
B
Arizona 6/5/2015
B
New Jersey 5/1/2024
B
California 6/5/2015
B
New York 1/18/2024
B
Colorado 6/5/2015
B
North Carolina 6/5/2015
B
Connecticut 11/26/2024
B
Ohio 6/5/2015
B
Florida 6/5/2015
B
Oregon 6/5/2015
B
Georgia 6/5/2015
B
South Carolina 6/5/2015
B
Illinois 6/5/2015
B
Tennessee 8/9/2018
B
Indiana 6/5/2015
B
Texas 11/23/2021
IA
Indiana 6/5/2015
IA
Texas 12/6/2021
B
Iowa 6/29/2018
B
Virginia 6/5/2015
B
Kentucky 6/5/2015
B
Washington 6/5/2015
B
Louisiana 8/16/2024
B
Wisconsin 6/5/2015
B
Michigan 6/5/2015

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)
800 East 96th Street Suite 400, Indianapolis, IN 46240
Registered with this firm since 6/5/2015
B
MORGAN STANLEY (CRD#:149777)
800 East 96th Street Suite 400, Indianapolis, IN 46240
Registered with this firm since 6/5/2015
Previous Registration(s)
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IA
 02/09/2007 - 06/16/2015 UBS FINANCIAL SERVICES INC. (CRD#:8174) WEEHAWKEN, NJ
B
 02/09/2007 - 06/16/2015 UBS FINANCIAL SERVICES INC. (CRD#:8174) WEEHAWKEN, NJ
IA
 01/20/1999 - 02/09/2007 MCDONALD INVESTMENTS INC. (CRD#:566) INDIANAPOLIS, IN
B
 02/17/1995 - 02/09/2007 MCDONALD INVESTMENTS INC. (CRD#:566) INDIANAPOLIS, IN
B
 09/15/1989 - 08/30/1995 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
 06/18/1981 - 09/15/1989 THOMSON MCKINNON SECURITIES INC. (CRD#:829) NEW YORK, NY
B
 10/23/1980 - 07/06/1981 BACHE HALSEY STUART SHIELDS INCORPORATED (CRD#:7471)
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.