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Registration History
197519801985199019952000200520102015202020252 FIRMS2005 - 2007 (1 year)2 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - Present (15 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1984 - 2005 (21 years)BPRUDENTIAL-BACHE SECURITIES INC. (CRD# 7471)1977 - 1984 (6 years)BBACHE HALSEY STUART INC. (CRD# 7238)1976 - 1977 (1 year)BBACHE & CO INCORPORATED (CRD# 7058)1976 - 1976 (<1 year)BBACHE & CO., INCORPORATED (CRD# 66)1975 - 1976 (1 year)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1991 - 2005 (14 years)
Disclosure(s)
View By:
4/1/1988
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 1/27/2011

B
Pennsylvania 6/1/2009

B
Florida 6/1/2009

B
South Carolina 6/21/2017

IA
Florida 6/1/2009

B
Texas 7/15/2016

B
Georgia 6/1/2009

IA
Texas 4/15/2020

B
Massachusetts 1/11/2017

B
Virginia 3/25/2024

B
Michigan 6/1/2009

B
Washington 3/25/2024

B
New York 6/1/2009

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)
Palm Beach Gardens, FL
Registered with this firm since 6/1/2009

B
MORGAN STANLEY (CRD#:149777)
Palm Beach Gardens, FL
Registered with this firm since 6/1/2009

Previous Registration(s)
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IA
04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) W. PALM BEACH, FL
B
04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) W. PALM BEACH, FL
IA
10/03/2005 - 04/02/2007 MORGAN STANLEY (CRD#:7556) W. PALM BEACH, FL
B
09/30/2005 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) W. PALM BEACH, FL
IA
04/17/1991 - 10/17/2005 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) WEST PALM BEACH, FL
B
05/08/1984 - 10/17/2005 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NEW YORK, NY
B
09/16/1977 - 06/06/1984 PRUDENTIAL-BACHE SECURITIES INC. (CRD#:7471)
B
08/27/1976 - 09/16/1977 BACHE HALSEY STUART INC. (CRD#:7238)
B
02/27/1976 - 08/27/1976 BACHE & CO INCORPORATED (CRD#:7058)
B
01/02/1975 - 02/27/1976 BACHE & CO., INCORPORATED (CRD#:66)
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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.