Jimmy Yang Driggers (CRD#: 1359593) is a previously registered Broker and previously registered Investment Advisor. Broker’s Background He entered the securities industry in 1985 and previously worked for Morgan Stanley & Co.; UBS Financial Services, Inc.; Prudential Securities, Inc.; Everen Securities, Inc.; Cozad Investment Services, Inc.; Escalator Securities, Inc.; Investacorp, Inc.; and J.W. Grant & […]

Doug McKelvey (CRD#: 4502849) is a previously registered Broker and previously registered Investment Advisor. Broker’s Background He entered the securities industry in 2002 and previously worked for Morgan Stanley; Citigroup Global Markets, Inc.; UBS Financial Services, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the […]

Robert C. David (CRD#: 5211223) is a previously registered Broker and Investment Advisor. Broker’s Background He entered the securities industry in 2006 and previously worked for Morgan Stanley; and Citigroup Global Markets, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the Financial Industry Regulatory Authority […]

Dana Timchenko (CRD#: 5540891) is a dually registered Broker and Investment Advisor at Morgan Stanley in Cornelius, NC. Broker’s Background She entered the securities industry in 2008 and previously worked for UBS Financial Services, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the Financial Industry […]

Stephen Takeda (CRD: 1100052) is a dually registered Broker and Investment Advisor at Morgan Stanley in Irvine, CA. Broker’s Background He entered the securities industry in 1983 and previously worked for Citigroup Global Markets, Inc.; Lehman Brothers, Inc.; and Dean Witter Reynolds, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss According to […]

Anthony Gallea (CRD#: 713980) is a dually registered Broker and Investment Advisor at Morgan Stanley in Hendersonville, NC. Broker’s Background He entered the securities industry in 1980 and previously worked for Citigroup Global Markets, Inc.; and Lehman Brothers, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released […]

Shawn Good (CRD#: 2022168) is a previously registered Broker and previously registered Investment Advisor. Broker’s Background He entered the securities industry in 1990 and previously worked for Morgan Stanley; Wells Fargo Advisors, LLC; and Charles Schwab & Co, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss In April 2022, United States Securities […]

Robert David (CRD#: 5211223) is an Investment Advisor and previously registered Broker. Broker’s Background He entered the securities industry in 2006 and previously worked for Morgan Stanley; and Citigroup Global Markets, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), […]

Elizabeth Layne (CRD#: 4497721) is a dually registered Broker and Investment Advisor at Morgan Stanley in Atlanta, GA. Broker’s Background She entered the securities industry in 2002 and previously worked for Merrill Lynch, Pierce, Fenner & Smith, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by […]

Christopher McCaffrey (CRD#: 2735236) is a dually registered Broker and Investment Advisor at Morgan Stanley in Napa, CA. Broker’s Background He entered the securities industry in 1996 and previously worked for Morgan Stanley & Co., Inc.; Morgan Stanley; Morgan Stanley DW, Inc.; and A.G. Edwards & Sons, Inc. Current And Past Allegations Of Conduct Leading […]