{"hits":{"total":1,"hits":[{"_type":"_doc","_source":{"content":"{\"basicInformation\": {\"individualId\": 1501468, \"firstName\": \"DEAN\", \"middleName\": \"JOAQUIN\", \"lastName\": \"BRAUN\", \"otherNames\": [], \"bcScope\": \"Active\", \"iaScope\": \"Active\", \"daysInIndustryCalculatedDate\": \"5/20/1987\"}, \"currentEmployments\": [{\"firmId\": 149777, \"firmName\": \"MORGAN STANLEY\", \"iaOnly\": \"N\", \"registrationBeginDate\": \"6/1/2009\", \"firmBCScope\": \"ACTIVE\", \"firmIAScope\": \"ACTIVE\", \"iaSECNumber\": \"70103\", \"iaSECNumberType\": \"801\", \"bdSECNumber\": \"68191\", \"branchOfficeLocations\": [{\"displayOrder\": 2, \"locatedAtFlag\": \"Y\", \"supervisedFromFlag\": \"N\", \"privateResidenceFlag\": \"N\", \"branchOfficeId\": \"409409\", \"street1\": \"601 Union Street, Two Union Square\", \"street2\": \"Suite 5200\", \"city\": \"Seattle\", \"cityAlias\": [\"SEATTLE\", \"TIMES SQUARE\"], \"state\": \"WA\", \"country\": \"United States\", \"zipCode\": \"98101\", \"latitude\": \"47.611012\", \"longitude\": \"-122.333523\", \"geoLocation\": \"47.611012,-122.333523\", \"nonRegisteredOfficeFlag\": \"N\", \"elaBeginDate\": \"08/26/2019\"}]}], \"currentIAEmployments\": [{\"firmId\": 149777, \"firmName\": \"MORGAN STANLEY\", \"iaOnly\": \"Y\", \"registrationBeginDate\": \"6/1/2009\", \"firmBCScope\": \"ACTIVE\", \"firmIAScope\": \"ACTIVE\", \"iaSECNumber\": \"70103\", \"iaSECNumberType\": \"801\", \"bdSECNumber\": \"68191\", \"branchOfficeLocations\": [{\"displayOrder\": 2, \"locatedAtFlag\": \"Y\", \"supervisedFromFlag\": \"N\", \"privateResidenceFlag\": \"N\", \"branchOfficeId\": \"409409\", \"street1\": \"601 Union Street, Two Union Square\", \"street2\": \"Suite 5200\", \"city\": \"Seattle\", \"cityAlias\": [\"SEATTLE\", \"TIMES SQUARE\"], \"state\": \"WA\", \"country\": \"United States\", \"zipCode\": \"98101\", \"latitude\": \"47.611012\", \"longitude\": \"-122.333523\", \"geoLocation\": \"47.611012,-122.333523\", \"nonRegisteredOfficeFlag\": \"N\", \"elaBeginDate\": \"08/26/2019\"}]}], \"previousEmployments\": [{\"iaOnly\": \"N\", \"iaSECNumber\": \"3387\", \"iaSECNumberType\": \"801\", \"bdSECNumber\": \"8177\", \"firmId\": 7059, \"firmName\": \"CITIGROUP GLOBAL MARKETS INC.\", \"city\": \"SEATTLE\", \"state\": \"WA\", \"registrationBeginDate\": \"8/31/1990\", \"registrationEndDate\": \"6/1/2009\", \"firmBCScope\": \"ACTIVE\", \"firmIAScope\": \"ACTIVE\"}, {\"iaOnly\": \"N\", \"bdSECNumber\": \"18333\", \"firmId\": 630, \"firmName\": \"OPPENHEIMER & CO., INC.\", \"city\": \"NEW YORK\", \"state\": \"NY\", \"country\": \"UNITED STATES\", \"registrationBeginDate\": \"5/1/1989\", \"registrationEndDate\": \"9/12/1990\", \"firmBCScope\": \"ACTIVE\", \"firmIAScope\": \"NOTINSCOPE\"}, {\"iaOnly\": \"N\", \"bdSECNumber\": \"6161\", \"firmId\": 7323, \"firmName\": \"DREXEL BURNHAM LAMBERT INCORPORATED\", \"registrationBeginDate\": \"5/21/1987\", \"registrationEndDate\": \"5/17/1989\", \"firmBCScope\": \"INACTIVE\", \"firmIAScope\": \"NOTINSCOPE\"}], \"previousIAEmployments\": [{\"iaOnly\": \"Y\", \"iaSECNumber\": \"3387\", \"iaSECNumberType\": \"801\", \"bdSECNumber\": \"8177\", \"firmId\": 7059, \"firmName\": \"CITIGROUP GLOBAL MARKETS INC.\", \"city\": \"SEATTLE\", \"state\": \"WA\", \"country\": \"United States\", \"registrationBeginDate\": \"6/30/1993\", \"registrationEndDate\": \"6/1/2009\", \"firmBCScope\": \"ACTIVE\", \"firmIAScope\": \"ACTIVE\"}], \"disclosureFlag\": \"Y\", \"iaDisclosureFlag\": \"Y\", \"disclosures\": [{\"eventDate\": \"10/9/2015\", \"disclosureType\": \"Customer Dispute\", \"disclosureResolution\": \"Denied\", \"isIapdExcludedCCFlag\": \"N\", \"isBcExcludedCCFlag\": \"N\", \"bcCtgryType\": 10, \"iaCtgryType\": 10, \"disclosureDetail\": {\"Allegations\": \"CLIENT ALLEGED THAT INVESTMENTS PURCHASED IN HER ACCOUNTS WERE NOT SUITABLE. 2014-2015. ALLEGED DAMAGES UNSPECIFIED.\", \"DisplayAAOLinkIfExists\": \"N\", \"arbitrationClaimFiledDetail\": \"\", \"arbitrationDocketNumber\": \"\", \"Broker Comment\": [\"I categorically deny any wrongdoing.  All investment recommendations were made based on substantial due diligence and always with the client's best interest in mind.\"]}}, {\"eventDate\": \"3/21/2002\", \"disclosureType\": \"Customer Dispute\", \"disclosureResolution\": \"Denied\", \"isIapdExcludedCCFlag\": \"N\", \"isBcExcludedCCFlag\": \"N\", \"bcCtgryType\": 10, \"iaCtgryType\": 10, \"disclosureDetail\": {\"Allegations\": \"ALLEGES FC WAS UNWILLING TO LISTEN TO HIS INVESTMENT OBJECTIVES.\", \"Damage Amount Requested\": \"$438,000.00\", \"DisplayAAOLinkIfExists\": \"N\", \"arbitrationClaimFiledDetail\": \"\", \"arbitrationDocketNumber\": \"\", \"Broker Comment\": [\"The client's claim was determined to have no merit and was denied by the firm.\"]}}], \"examsCount\": {\"stateExamCount\": 2, \"principalExamCount\": 0, \"productExamCount\": 3}, \"stateExamCategory\": [{\"examCategory\": \"Series 65\", \"examName\": \"Uniform Investment Adviser Law Examination\", \"examTakenDate\": \"6/7/1993\", \"examScope\": \"IA\"}, {\"examCategory\": \"Series 63\", \"examName\": \"Uniform Securities Agent State Law Examination\", \"examTakenDate\": \"1/15/1987\", \"examScope\": \"BC\"}], \"principalExamCategory\": [], \"productExamCategory\": [{\"examCategory\": \"SIE\", \"examName\": \"Securities Industry Essentials Examination\", \"examTakenDate\": \"10/1/2018\", \"examScope\": \"BC\"}, {\"examCategory\": \"Series 7\", \"examName\": \"General Securities Representative Examination\", \"examTakenDate\": \"5/16/1987\", \"examScope\": \"BC\"}, {\"examCategory\": \"Series 3\", \"examName\": \"National Commodity Futures Examination\", \"examTakenDate\": \"3/23/1987\", \"examScope\": \"BC\"}], \"registrationCount\": {\"approvedSRORegistrationCount\": 4, \"approvedFinraRegistrationCount\": 1, \"approvedStateRegistrationCount\": 36, \"approvedIAStateRegistrationCount\": 3}, \"registeredStates\": [{\"state\": \"Alaska\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"6/1/2009\"}, {\"state\": \"Arizona\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"6/1/2009\"}, {\"state\": \"Arkansas\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/8/2015\"}, {\"state\": \"California\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"6/1/2009\"}, {\"state\": \"California\", \"regScope\": \"IA\", \"status\": \"APPROVED\", \"regDate\": \"8/7/2019\"}, {\"state\": \"Colorado\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"6/5/2018\"}, {\"state\": \"Connecticut\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"4/4/2022\"}, {\"state\": \"Delaware\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"7/5/2023\"}, {\"state\": \"Florida\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"6/1/2009\"}, {\"state\": \"Georgia\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"6/21/2012\"}, {\"state\": \"Hawaii\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/15/2013\"}, {\"state\": \"Idaho\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"6/1/2009\"}, {\"state\": \"Illinois\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"10/20/2010\"}, {\"state\": \"Kansas\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"12/21/2017\"}, {\"state\": \"Louisiana\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"6/1/2009\"}, {\"state\": \"Maryland\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"5/8/2025\"}, {\"state\": \"Massachusetts\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"5/25/2016\"}, {\"state\": \"Michigan\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/6/2021\"}, {\"state\": \"Minnesota\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"12/21/2017\"}, {\"state\": \"Montana\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"6/1/2009\"}, {\"state\": \"Nevada\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"6/1/2009\"}, {\"state\": \"New Jersey\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"8/5/2019\"}, {\"state\": \"New Mexico\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"5/16/2018\"}, {\"state\": \"New York\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"6/1/2009\"}, {\"state\": \"North Carolina\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"11/16/2023\"}, {\"state\": \"Ohio\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/7/2021\"}, {\"state\": \"Oregon\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"6/1/2009\"}, {\"state\": \"Pennsylvania\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"6/1/2009\"}, {\"state\": \"South Carolina\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"10/20/2021\"}, {\"state\": \"Tennessee\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"9/8/2021\"}, {\"state\": \"Texas\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"6/1/2009\"}, {\"state\": \"Texas\", \"regScope\": \"IA\", \"status\": \"APPROVED_RES\", \"regDate\": \"2/11/2014\"}, {\"state\": \"Utah\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"12/6/2012\"}, {\"state\": \"Vermont\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"9/10/2024\"}, {\"state\": \"Virginia\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"6/1/2009\"}, {\"state\": \"Washington\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"6/1/2009\"}, {\"state\": \"Washington\", \"regScope\": \"IA\", \"status\": \"APPROVED\", \"regDate\": \"6/1/2009\"}, {\"state\": \"Wisconsin\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"2/14/2023\"}, {\"state\": \"Wyoming\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"11/28/2023\"}], \"registeredSROs\": [{\"sro\": \"FINRA\", \"status\": \"APPROVED\", \"CategoriesList\": [\"Full Registration/General Securities Representative\"]}, {\"sro\": \"NYSE American LLC\", \"status\": \"APPROVED\"}, {\"sro\": \"Nasdaq Stock Market\", \"status\": \"APPROVED\"}, {\"sro\": \"New York Stock Exchange\", \"status\": \"APPROVED\"}], \"brokerDetails\": {\"hasBCComments\": \"N\", \"hasIAComments\": \"N\", \"legacyReportStatusDescription\": \"Not Requested\"}}"}}]}}