Individual Firm
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PHILIP ALAN MENDEL
PHIL MENDEL
CRD#: 855141
IA
B
MORGAN STANLEYCRD#: 149777 7311 Crossleigh Court
Toledo, OH 43617
Toledo, OH 43617
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5/16/2008
Customer Dispute
Settled
State Registrations
B
Alabama 5/7/2015
B
New Mexico 1/23/2023
B
California 5/7/2015
B
New York 7/21/2022
B
Colorado 5/7/2015
B
Ohio 5/7/2015
B
Florida 5/7/2015
IA
Ohio 5/7/2015
B
Illinois 5/7/2015
B
South Carolina 5/7/2015
B
Kentucky 11/12/2015
B
Texas 5/7/2015
B
Maryland 12/14/2015
IA
Texas 5/7/2015
B
Massachusetts 3/21/2019
B
Vermont 1/3/2022
B
Michigan 5/7/2015
SRO Registrations
B
B
B
B
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Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 5/7/2015
B
Registered with this firm since 5/7/2015
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/09/1999 - 05/08/2015 | PERRYSBURG, OH | |
B | 04/24/1979 - 05/08/2015 | PERRYSBURG, OH | |
B | 07/24/1978 - 04/17/1979 | ||
B | 01/24/1979 - 04/12/1979 |
PERRYSBURG, OH
08/09/1999 - 05/08/2015
PERRYSBURG, OH
04/24/1979 - 05/08/2015
07/24/1978 - 04/17/1979
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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.