Individual Firm
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BRADLEY ALLEN GARRETT
CRD#: 727934
IA
B
MORGAN STANLEYCRD#: 149777 2800 Post Oak Boulevard
18th Floor
Houston, TX 77056
18th Floor
Houston, TX 77056
View By:
11/26/2001
Customer Dispute
Denied
State Registrations
B
Arizona 9/23/2019
B
Nebraska 5/25/2018
B
Arkansas 5/12/2021
B
New Jersey 7/14/2023
B
California 6/1/2009
B
New Mexico 6/1/2009
B
Colorado 2/17/2017
B
New York 6/1/2009
B
Florida 6/1/2009
B
North Carolina 6/1/2009
B
Georgia 1/20/2022
B
Ohio 6/1/2009
B
Illinois 6/1/2009
B
Oklahoma 1/20/2022
B
Kansas 1/20/2022
B
South Carolina 6/1/2009
B
Louisiana 6/1/2009
B
Texas 6/1/2009
B
Maryland 8/19/2020
IA
Texas 6/1/2009
B
Michigan 6/1/2009
B
Utah 3/15/2023
B
Minnesota 2/9/2022
B
Virginia 6/1/2009
B
Mississippi 6/1/2009
B
Washington 5/11/2018
B
Missouri 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 | 02/15/1988 - 07/31/1993 | NEW YORK, NY | |
B | 06/20/1983 - 02/15/1988 | ||
B | 01/22/1982 - 06/09/1983 | ||
B | 04/13/1981 - 12/08/1981 |
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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.