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Dalia Marshall

Morgan Stanley

Naples, FL

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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-04-02
FL RA APPROVED 2018-02-13
  • TX RA
    APPROVED_RES
    Since 2020-04-02
  • FL RA
    APPROVED
    Since 2018-02-13

Branch Locations

8889 Pelican Bay Boulevard Suite 300, Naples, FL 34108 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Fifth Third Bank Naples FL 05/2016 05/2017
Jp Morgan Chase Naples FL 05/2017 08/2017
Morgan Stanley Naples FL 02/2018 Present
Unemployed Naples FL 08/2017 02/2018
  • 05/2016 → 05/2017
    Fifth Third Bank
    Naples, FL
  • 05/2017 → 08/2017
    Jp Morgan Chase
    Naples, FL
  • 02/2018 → Present
    Morgan Stanley
    Naples, FL
  • 08/2017 → 02/2018
    Unemployed
    Naples, FL
Previous Registrations
  • 2012-05-09 → 2016-05-02
    Hsbc Securities (Usa) Inc.
    New York, NY
    Tappan, NY
    Stony Point, NY
    New York, NY
    New York, NY
    Stony Point, NY
    Tappan, NY
    Blauvelt, NY
    Blauvelt, NY
    New York, NY
    New York, NY
    Stony Point, NY
    Blauvelt, NY
    New York, NY
    New York, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-05-08
S63 Uniform Securities Agent State Law Examination 2001-05-23
  • S65 Uniform Investment Adviser Law Examination
    2012-05-08
  • S63 Uniform Securities Agent State Law Examination
    2001-05-23
Other Names
  • Dalia Francis

View on SEC IAPD

Other Firms

TRUIST ADVISORY SERVICES, INC.
WELLS FARGO CLEARING SERVICES, LLC
J.P. MORGAN SECURITIES LLC
SYNOVUS SECURITIES, INC.
LPL FINANCIAL LLC
CAPITAL WEALTH PLANNING, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
NTV FRONTIER MANAGEMENT

Other Investors

JENNIFER ERNA MCMANUS
RUDINA RUCI
SALWA AMEEN
SAEGER CAY OLSEN
MIGUEL ALEJANDRO ALVAREZ
Manuel Espinosa
Ethan Nathaniel Stern
DAVID MATTHEW WHITTAKER

Other Offices

TRUIST ADVISORY SERVICES, INC. · NAPLES, FL
TRUIST ADVISORY SERVICES, INC. · NAPLES, FL
WELLS FARGO CLEARING SERVICES, LLC · NAPLES, FL
J.P. MORGAN SECURITIES LLC · NAPLES, FL
SYNOVUS SECURITIES, INC. · NAPLES, FL
LPL FINANCIAL LLC · NAPLES, FL
CAPITAL WEALTH PLANNING, LLC · NAPLES, FL
AMERIPRISE FINANCIAL SERVICES, LLC · NAPLES, FL

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