Individual Firm
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J TIMOTHY THOMPSON
JOHN TIMOTHY THOMPSON
CRD#: 838318
IA
B
MORGAN STANLEYCRD#: 149777 1775 I Street, North West
Suite 200
Washington, DC 20006
Suite 200
Washington, DC 20006
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4/1/1991
Customer Dispute
Award / Judgment
State Registrations
B
Alabama 4/25/2017
B
New Hampshire 8/28/2023
B
Arizona 6/1/2009
B
New Jersey 10/24/2012
B
California 12/23/2016
B
New York 6/1/2009
B
Colorado 6/1/2009
B
North Carolina 6/1/2009
B
Connecticut 4/19/2017
B
North Dakota 2/26/2024
B
Delaware 12/19/2018
B
Ohio 5/9/2017
B
District of Columbia 6/1/2009
B
Oklahoma 3/30/2021
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District of Columbia 6/1/2009
B
Oregon 5/3/2017
B
Florida 6/1/2009
B
Pennsylvania 6/1/2009
B
Georgia 8/6/2014
B
Puerto Rico 4/24/2017
B
Idaho 12/12/2018
B
Rhode Island 6/1/2009
B
Illinois 6/1/2009
B
South Carolina 6/1/2009
B
Indiana 6/1/2009
B
Tennessee 4/25/2017
B
Iowa 6/1/2009
B
Texas 1/21/2015
B
Kentucky 6/1/2009
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Texas 12/12/2018
B
Louisiana 11/21/2018
B
Utah 5/9/2017
B
Maryland 6/1/2009
B
Vermont 4/25/2017
B
Massachusetts 10/9/2012
B
Virgin Islands 11/22/2024
B
Michigan 4/26/2017
B
Virginia 6/1/2009
B
Minnesota 6/1/2009
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Virginia 6/1/2022
B
Mississippi 10/4/2021
B
Washington 5/4/2017
B
Missouri 4/19/2017
B
West Virginia 5/12/2017
B
Nebraska 7/12/2022
B
Wisconsin 4/21/2017
B
Nevada 2/3/2021
B
Wyoming 2/1/2023
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
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 | 10/23/2008 - 06/01/2009 | WASHINGTON, DC | |
B | 10/03/2008 - 06/01/2009 | WASHINGTON, DC | |
IA | 02/13/1994 - 10/14/2008 | WASHINGTON, DC | |
B | 05/12/1993 - 10/14/2008 | WASHINGTON, DC | |
B | 05/14/1988 - 05/21/1993 | NEW YORK, NY | |
B | 04/03/1980 - 05/14/1988 | ||
B | 05/07/1979 - 05/04/1980 | ||
B | 06/01/1977 - 06/18/1979 |
06/01/1977 - 06/18/1979
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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.