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Detailed Report
DAVID ALAN LINDBERG
DAVID ALLEN LINDBERG
CRD#: 815752
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 411 East Wisconsin Avenue
Suite 2200
Milwaukee, WI 53202
Registration History
19801985199019952000200520102015202020252 FIRMS1993 - 2009 (15 years)2 FIRMS2009 - Present (15 years)BLEHMAN BROTHERS INC. (CRD# 7506)1988 - 1993 (5 years)BE. F. HUTTON & COMPANY INC (CRD# 235)1987 - 1988 (<1 year)BPAINEWEBBER INCORPORATED (CRD# 8174)1984 - 1985 (1 year)BE. F. HUTTON & COMPANY INC (CRD# 235)1980 - 1984 (4 years)
License(s)

State Registrations

B
Arizona 5/16/2018
B
Nevada 6/1/2009
B
California 6/1/2009
B
New Jersey 6/1/2009
B
Colorado 11/30/2022
B
New York 6/1/2009
B
Connecticut 2/2/2015
B
Ohio 6/1/2009
B
Florida 6/1/2009
B
Pennsylvania 1/3/2018
B
Idaho 5/30/2018
B
Texas 6/1/2009
B
Illinois 6/1/2009
IA
Texas 3/19/2020
B
Indiana 2/3/2023
B
Utah 9/29/2021
B
Iowa 1/3/2018
B
Virginia 6/1/2009
B
Maryland 5/27/2020
B
West Virginia 3/3/2020
B
Michigan 1/12/2012
B
Wisconsin 6/1/2009
B
Minnesota 6/1/2009
IA
Wisconsin 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)
411 East Wisconsin Avenue Suite 2200, Milwaukee, WI 53202
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
411 East Wisconsin Avenue Suite 2200, Milwaukee, WI 53202
Registered with this firm since 6/1/2009
Previous Registration(s)
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IA
 07/31/1993 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) MILWAUKEE, WI
B
 07/31/1993 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) MILWAUKEE, WI
B
 02/15/1988 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
 09/28/1987 - 02/15/1988 E. F. HUTTON & COMPANY INC (CRD#:235)
B
 08/22/1984 - 10/02/1985 PAINEWEBBER INCORPORATED (CRD#:8174)
B
 01/22/1980 - 10/09/1984 E. F. HUTTON & COMPANY INC (CRD#:235)
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.