Best Investors Account Sign in

Roy Vincent James

Morgan Stanley

Coarsegold, CA

Fresno, CA

Claim This Profile
Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-02-25
CA RA APPROVED 2015-05-13
  • TX RA
    APPROVED_RES
    Since 2020-02-25
  • CA RA
    APPROVED
    Since 2015-05-13

Branch Locations

Coarsegold, CA • United States

5250 North Palm Avenue Suite 321, Fresno, CA 93704 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Fresno CA 10/2009 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-05-12
S63 Uniform Securities Agent State Law Examination 2003-09-11
  • S65 Uniform Investment Adviser Law Examination
    2015-05-12
  • S63 Uniform Securities Agent State Law Examination
    2003-09-11

View on SEC IAPD

More in Coarsegold, CA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor