Gerald D Rubin
Professional Summary
Gerald D Rubin, who also goes by Gerald David Rubin, Gerald Rubin, Rubn Rubin, Gerald David Rubn, is a registered financial advisor currently at MORGAN STANLEY & CO. LLC located in New York, New York and PRIME DEALER SERVICES CORP. located in New York, New York. Gerald is registered as a RR (Registered Representative) and started their career in finance in 1998. Gerald has worked at 2 firms and has passed the Series 63, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Gerald David Rubin, Gerald Rubin, Rubn Rubin, Gerald David Rubn
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
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Years of Experience
28 years in the financial services industry
Current & Past Employments
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Current Firm
MS DEALER SERVICES CORP. | PRIME DEALER SERVICES CORP.
Contact Information
Main Address
1585 Broadway, New York, NY 10036Mailing Address
1300 Thames Street C/o Shared Services Compliance - Registration, Baltimore, MD 21231Phone Number
(212) 762-4000Established
Delaware since 01/26/1994Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (1 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY & CO. LLC | SHAREHOLDER | — |
| CROWE, JOHN WILLIAM | CHIEF FINANCIAL OFFICER | 5475007 |
| GRECO, ANTHONY | DIRECTOR, PRESIDENT, AND CHIEF EXECUTIVE OFFICER | 4853800 |
| MORANO, DAVID | PRINCIPAL OPERATIONS OFFICER | 2189287 |
| MOSKOWITZ, DOUGLAS IRWIN | CHIEF COMPLIANCE OFFICER | 2396405 |
| RUBIN, GERALD | DIRECTOR | 2950891 |
| VINAS, SULLY V | DIRECTOR | 5304705 |
Disclosures
Regulatory Event
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 9 — General Securities Sales Supervisor - Options Module Examination
Passed Apr 2004About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Sep 2003About the Series 10 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Gerald D Rubin's CRS (Customer Relationship Summary).
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