Stephen C. Daffron
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Stephen Curtis Daffron, who also goes by Stephen C Daffon, Stephen C Daffron, Stephen Daffron, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2008. Stephen had worked at 4 firms and has passed the Series 27 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 13, 2008 - October 30, 2008
MORGAN STANLEY MARKET PRODUCTS INC.
June 13, 2008 - June 21, 2010
PRIME DEALER SERVICES CORP.
June 13, 2008 - June 21, 2010
MS SECURITIES SERVICES INC.
April 3, 2008 - October 3, 2013
MORGAN STANLEY & CO. LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MORGAN STANLEY MARKET PRODUCTS INC.
CRD#: 19794 / SEC#: , 8-37795
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY | BENEFICIAL OWNER | |
| DAFFRON, STEPHEN | CHIEF OPERATIONS OFFICER | 3219009 |
| DAURIA, JOSEPH RICHARD | VICE PRESIDENT | 2264916 |
| FANNING, JANE E | DIRECTOR AND VICE PRESIDENT | 4851381 |
| FEARON, CHARMAINE ROBERTA | VICE PRESIDENT | 4563789 |
| LALANDE, YANN JOSEPH | VICE PRESIDENT | 4219648 |
| LOCOSA, LAURA E | VICE PRESIDENT | 1349591 |
| MOORE, DAVID NEIL | DIRECTOR AND PRESIDENT | 2408228 |
| NAFTZGER, STEVEN THOMAS | VICE PRESIDENT | 4285833 |
| PALLADINO, LOUIS ANGELO | VICE PRESIDENT | 2630899 |
| PLATEL, SIMON NICHOLAS | VICE PRESIDENT | 4857171 |
| PRATA, BERNARDO E | VICE PRESIDENT | 2185678 |
| RICHTER, ROSEANNE NANCY | CHIEF COMPLIANCE OFFICER | 1771193 |
| SANDBERG, BRUCE R | VICE PRESIDENT | 1827143 |
| TANNENBAUM, ELLIOT IRA | VICE PRESIDENT | 4705433 |
| TEICHHOLTZ, COLIN H | DIRECTOR AND VICE PRESIDENT | 2269575 |
Red Flags
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