Maurice L. Servetnick
Professional summary
Maurice Lawrence Servetnick was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Maurice is a previously registered financial professional and started their career in finance in 1970. Prior to being barred, Maurice had worked at 6 firms, which includes MORGAN STANLEY DW INC., CITIGROUP GLOBAL MARKETS INC., LEHMAN BROTHERS INC., SHEARSON HAYDEN STONE INC., TUCKER ANTHONY INCORPORATED, HAYDEN STONE INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 13, 1994 - July 6, 2004
MORGAN STANLEY DW INC.
July 31, 1993 - May 31, 1994
CITIGROUP GLOBAL MARKETS INC.
November 22, 1977 - July 31, 1993
LEHMAN BROTHERS INC.
July 19, 1977 - November 22, 1977
SHEARSON HAYDEN STONE INC.
February 7, 1977 - July 23, 1977
TUCKER ANTHONY INCORPORATED
September 11, 1970 - April 8, 1977
HAYDEN STONE INC.
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
Series 1
Date: 12/1/1967
Registered Representative ExaminationCurrent Firm
MORGAN STANLEY DW INC.
CRD#: 7556 / SEC#: , 8-14172
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY | PARENT | |
| CHENG, NOLAND | CHIEF OPERATIONS OFFICER | 2072097 |
| CIMINERA, LAURA | CROP | 1388279 |
| GELFAND, JEFFREY ALLEN | CHIEF FINANCIAL OFFICER | |
| GORMAN, JAMES PATRICK | PRESIDENT,CHIEF OPERATING OFFICER,CHIEF EXECUTIVE OFFICER | 4026328 |
| GUEREN, RICHARD DANIEL | SROP, EXECUTIVE DIRECTOR | 1146589 |
| HANAN, SHELLEY SUZANNE | DIRECTOR | 1327260 |
| HARRIS, RAYMOND ALBERT JR | DIRECTOR | 1363371 |
| KNAPP, MATTHEW PAUL | CHIEF COMPLIANCE OFFICER FOR ADVISORY BUSINESS | 2514353 |
| MCMAHON, WILLIAM A | MANAGING DIRECTOR | 703705 |
| OROSCHAKOFF, MICHELLE | COMPLIANCE DIRECTOR FOR BROKER DEALER | 2403199 |
| WICKMAN, KIRK PETER | GENERAL COUNSEL, MANAGING DIRECTOR, DIRECTOR |
Disclosures
| Regulatory Event | 152 |
| Arbitration | 606 |
Red Flags
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.
