Individual Firm
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ALAN ROY GREENBERG
CRD#: 874198
IA
B
MORGAN STANLEYCRD#: 149777 1200 Franklin Avenue
2Nd Floor
Garden City, NY 11530
2Nd Floor
Garden City, NY 11530
View By:
5/22/2023
Customer Dispute
Settled
State Registrations
B
Alabama 6/1/2009
B
New York 6/1/2009
B
Arizona 2/24/2015
IA
New York 6/16/2021
B
Arkansas 9/12/2023
B
North Carolina 8/31/2020
B
California 6/1/2009
B
Ohio 2/10/2010
B
Colorado 6/1/2009
B
Pennsylvania 6/1/2009
B
Connecticut 6/1/2009
B
Rhode Island 1/8/2018
B
Delaware 4/11/2023
B
South Carolina 5/3/2011
B
District of Columbia 3/3/2016
IA
South Carolina 5/2/2023
B
Florida 6/1/2009
B
Tennessee 12/15/2016
IA
Florida 3/4/2024
B
Texas 6/1/2009
B
Georgia 6/1/2009
IA
Texas 6/1/2009
B
Illinois 6/1/2009
B
Utah 1/3/2013
B
Indiana 6/1/2009
B
Vermont 2/23/2023
B
Maryland 8/27/2019
B
Virginia 6/1/2009
B
Massachusetts 6/1/2009
B
Washington 6/1/2009
B
Michigan 6/1/2009
B
Wisconsin 2/23/2023
B
New Hampshire 6/1/2009
B
Wyoming 11/25/2022
B
New Jersey 6/1/2009
SRO Registrations
B
B
B
B
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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 | 04/11/2008 - 06/01/2009 | GREAT NECK, NY | |
B | 03/28/2008 - 06/01/2009 | GREAT NECK, NY | |
B | 04/23/1990 - 04/07/2008 | MANHASSET, NY | |
B | 10/01/1985 - 05/01/1990 | NEW YORK, NY | |
B | 06/13/1985 - 10/01/1985 | ||
B | 06/16/1980 - 06/21/1985 | ||
B | 11/26/1979 - 07/13/1980 |
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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.