Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
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.
< Back to Results
Detailed Report
SOFIA M DIAZ
Sofia M Diaz Morales, Sofia M DiazMorales
CRD#: 7724343
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 233 South Wacker Drive
Suite 8600
Chicago, IL 60606
Registration History
2023AprJulOct2024AprJulOct2025AprJulOct20262 FIRMS2023 - Present (1 year)
License(s)

State Registrations

B
Alabama 12/1/2023
B
Nebraska 12/1/2023
B
Alaska 12/1/2023
B
Nevada 12/1/2023
B
Arizona 12/1/2023
B
New Hampshire 12/1/2023
B
Arkansas 12/1/2023
B
New Jersey 12/1/2023
B
California 12/1/2023
B
New Mexico 12/1/2023
B
Colorado 12/1/2023
B
New York 12/1/2023
B
Connecticut 12/1/2023
B
North Carolina 12/1/2023
B
Delaware 12/1/2023
B
North Dakota 12/1/2023
B
District of Columbia 12/1/2023
B
Ohio 12/2/2023
B
Florida 12/1/2023
B
Oklahoma 12/1/2023
B
Georgia 12/1/2023
B
Oregon 12/1/2023
B
Hawaii 12/1/2023
B
Pennsylvania 12/1/2023
B
Idaho 12/1/2023
B
Puerto Rico 12/1/2023
B
Illinois 11/21/2023
B
Rhode Island 12/1/2023
IA
Illinois 11/21/2023
B
South Carolina 12/1/2023
B
Indiana 12/1/2023
B
South Dakota 12/1/2023
B
Iowa 12/1/2023
B
Tennessee 12/1/2023
B
Kansas 12/1/2023
B
Texas 12/1/2023
B
Kentucky 12/1/2023
IA
Texas 12/5/2023
B
Louisiana 12/1/2023
B
Utah 12/1/2023
B
Maine 12/1/2023
B
Vermont 12/1/2023
B
Maryland 12/1/2023
B
Virgin Islands 12/1/2023
B
Massachusetts 12/1/2023
B
Virginia 12/1/2023
B
Michigan 12/1/2023
B
Washington 12/1/2023
B
Minnesota 12/1/2023
B
West Virginia 12/1/2023
B
Mississippi 12/1/2023
B
Wisconsin 12/1/2023
B
Missouri 12/1/2023
B
Wyoming 12/1/2023
B
Montana 12/1/2023

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)
233 South Wacker Drive Suite 8600, Chicago, IL 60606
Registered with this firm since 11/21/2023
B
MORGAN STANLEY (CRD#:149777)
233 South Wacker Drive Suite 8600, Chicago, IL 60606
Registered with this firm since 9/19/2023
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.