{"hits":{"total":1,"hits":[{"_type":"_doc","_source":{"content":"{\"basicInformation\": {\"individualId\": 4492128, \"firstName\": \"KEITH\", \"middleName\": \"J\", \"lastName\": \"APTON\", \"otherNames\": [], \"bcScope\": \"Active\", \"iaScope\": \"Active\", \"daysInIndustryCalculatedDate\": \"3/25/2002\"}, \"currentEmployments\": [{\"firmId\": 8174, \"firmName\": \"UBS FINANCIAL SERVICES INC.\", \"iaOnly\": \"N\", \"registrationBeginDate\": \"1/15/2009\", \"firmBCScope\": \"ACTIVE\", \"firmIAScope\": \"ACTIVE\", \"iaSECNumber\": \"7163\", \"iaSECNumberType\": \"801\", \"bdSECNumber\": \"16267\", \"branchOfficeLocations\": [{\"displayOrder\": 1, \"locatedAtFlag\": \"Y\", \"supervisedFromFlag\": \"N\", \"privateResidenceFlag\": \"N\", \"branchOfficeId\": \"88715\", \"street1\": \"1700 M Street NM\", \"street2\": \"5th Floor\", \"city\": \"WASHINGTON\", \"cityAlias\": [\"WASHINGTON\"], \"state\": \"DC\", \"country\": \"United States\", \"zipCode\": \"20036\", \"latitude\": \"38.906861\", \"longitude\": \"-77.041385\", \"geoLocation\": \"38.906861,-77.041385\", \"nonRegisteredOfficeFlag\": \"N\", \"elaBeginDate\": \"01/15/2009\"}]}], \"currentIAEmployments\": [{\"firmId\": 8174, \"firmName\": \"UBS FINANCIAL SERVICES INC.\", \"iaOnly\": \"Y\", \"registrationBeginDate\": \"1/15/2009\", \"firmBCScope\": \"ACTIVE\", \"firmIAScope\": \"ACTIVE\", \"iaSECNumber\": \"7163\", \"iaSECNumberType\": \"801\", \"bdSECNumber\": \"16267\", \"branchOfficeLocations\": [{\"displayOrder\": 1, \"locatedAtFlag\": \"Y\", \"supervisedFromFlag\": \"N\", \"privateResidenceFlag\": \"N\", \"branchOfficeId\": \"88715\", \"street1\": \"1700 M Street NM\", \"street2\": \"5th Floor\", \"city\": \"WASHINGTON\", \"cityAlias\": [\"WASHINGTON\"], \"state\": \"DC\", \"country\": \"United States\", \"zipCode\": \"20036\", \"latitude\": \"38.906861\", \"longitude\": \"-77.041385\", \"geoLocation\": \"38.906861,-77.041385\", \"nonRegisteredOfficeFlag\": \"N\", \"elaBeginDate\": \"01/15/2009\"}]}], \"previousEmployments\": [{\"iaOnly\": \"N\", \"bdSECNumber\": \"15869\", \"firmId\": 8209, \"firmName\": \"MORGAN STANLEY & CO. INCORPORATED\", \"city\": \"WASHINGTON\", \"state\": \"DC\", \"registrationBeginDate\": \"4/2/2007\", \"registrationEndDate\": \"1/21/2009\", \"firmBCScope\": \"ACTIVE\", \"firmIAScope\": \"NOTINSCOPE\"}, {\"iaOnly\": \"N\", \"bdSECNumber\": \"14172\", \"firmId\": 7556, \"firmName\": \"MORGAN STANLEY DW INC.\", \"city\": \"WASHINGTON\", \"state\": \"DC\", \"registrationBeginDate\": \"3/26/2002\", \"registrationEndDate\": \"4/2/2007\", \"firmBCScope\": \"INACTIVE\", \"firmIAScope\": \"NOTINSCOPE\"}], \"previousIAEmployments\": [{\"iaOnly\": \"Y\", \"bdSECNumber\": \"15869\", \"firmId\": 8209, \"firmName\": \"MORGAN STANLEY & CO. INCORPORATED\", \"city\": \"WASHINGTON\", \"state\": \"DC\", \"country\": \"United States\", \"registrationBeginDate\": \"4/2/2007\", \"registrationEndDate\": \"1/21/2009\", \"firmBCScope\": \"ACTIVE\", \"firmIAScope\": \"NOTINSCOPE\"}, {\"iaOnly\": \"Y\", \"bdSECNumber\": \"14172\", \"firmId\": 7556, \"firmName\": \"MORGAN STANLEY\", \"city\": \"WASHINGTON\", \"state\": \"DC\", \"country\": \"United States\", \"registrationBeginDate\": \"5/14/2002\", \"registrationEndDate\": \"4/2/2007\", \"firmBCScope\": \"INACTIVE\", \"firmIAScope\": \"NOTINSCOPE\"}], \"disclosureFlag\": \"Y\", \"iaDisclosureFlag\": \"Y\", \"disclosures\": [{\"eventDate\": \"3/5/2010\", \"disclosureType\": \"Customer Dispute\", \"disclosureResolution\": \"Settled\", \"isIapdExcludedCCFlag\": \"N\", \"isBcExcludedCCFlag\": \"N\", \"bcCtgryType\": 10, \"iaCtgryType\": 10, \"disclosureDetail\": {\"Allegations\": \"THE CLIENT ALLEGED THAT HE WAS NOT TOLD THAT HE WAS PURCHASING AUCTION-RATE SECURITIES, BUT THOUGHT HE WAS PURCHASING MUNICIPAL BONDS.\", \"Damage Amount Requested\": \"$100,000.00\", \"Settlement Amount\": \"$100,000.00\", \"DisplayAAOLinkIfExists\": \"N\", \"arbitrationClaimFiledDetail\": \"\", \"arbitrationDocketNumber\": \"\", \"Broker Comment\": [\"THIS MATTER INVOLVES THE SALE OF AUCTION RATE SECURITIES (ARS). THE SETTLEMENT AMOUNT REFLECTS THE PAR VALUE OF THE REPURCHASED ARS, IN ACCORDANCE WITH FINRA REGULATORY NOTICE 09-12. THIS MATTER WAS SETTLED AS AN ACCOMODATION TO MORGAN STANLEY'S CLIENT AND TO AVOID LITIGATION.\"]}}], \"examsCount\": {\"stateExamCount\": 1, \"principalExamCount\": 0, \"productExamCount\": 3}, \"stateExamCategory\": [{\"examCategory\": \"Series 66\", \"examName\": \"Uniform Combined State Law Examination\", \"examTakenDate\": \"4/26/2002\", \"examScope\": \"BOTH\"}], \"principalExamCategory\": [], \"productExamCategory\": [{\"examCategory\": \"SIE\", \"examName\": \"Securities Industry Essentials Examination\", \"examTakenDate\": \"10/1/2018\", \"examScope\": \"BC\"}, {\"examCategory\": \"Series 31\", \"examName\": \"Futures Managed Funds Examination\", \"examTakenDate\": \"4/1/2002\", \"examScope\": \"BC\"}, {\"examCategory\": \"Series 7\", \"examName\": \"General Securities Representative Examination\", \"examTakenDate\": \"3/25/2002\", \"examScope\": \"BC\"}], \"registrationCount\": {\"approvedSRORegistrationCount\": 10, \"approvedFinraRegistrationCount\": 1, \"approvedStateRegistrationCount\": 51, \"approvedIAStateRegistrationCount\": 2}, \"registeredStates\": [{\"state\": \"Alabama\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"3/28/2023\"}, {\"state\": \"Alaska\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"8/10/2015\"}, {\"state\": \"Arizona\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/15/2009\"}, {\"state\": \"Arkansas\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"10/5/2010\"}, {\"state\": \"California\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/15/2009\"}, {\"state\": \"Colorado\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/2/2018\"}, {\"state\": \"Connecticut\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"12/19/2013\"}, {\"state\": \"Delaware\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"7/15/2019\"}, {\"state\": \"District of Columbia\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/15/2009\"}, {\"state\": \"District of Columbia\", \"regScope\": \"IA\", \"status\": \"APPROVED\", \"regDate\": \"2/5/2009\"}, {\"state\": \"Florida\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/15/2009\"}, {\"state\": \"Georgia\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/15/2009\"}, {\"state\": \"Hawaii\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"2/13/2013\"}, {\"state\": \"Idaho\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"12/19/2011\"}, {\"state\": \"Illinois\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"3/4/2016\"}, {\"state\": \"Indiana\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"2/21/2019\"}, {\"state\": \"Iowa\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"8/2/2022\"}, {\"state\": \"Kansas\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"7/12/2017\"}, {\"state\": \"Kentucky\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/15/2009\"}, {\"state\": \"Louisiana\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"3/11/2022\"}, {\"state\": \"Maine\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"3/7/2019\"}, {\"state\": \"Maryland\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/15/2009\"}, {\"state\": \"Massachusetts\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"8/19/2013\"}, {\"state\": \"Michigan\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"12/7/2012\"}, {\"state\": \"Minnesota\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"3/13/2017\"}, {\"state\": \"Mississippi\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"8/24/2023\"}, {\"state\": \"Missouri\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"9/24/2021\"}, {\"state\": \"Montana\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"12/8/2011\"}, {\"state\": \"Nebraska\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"8/23/2023\"}, {\"state\": \"Nevada\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"7/10/2018\"}, {\"state\": \"New Hampshire\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"8/29/2023\"}, {\"state\": \"New Jersey\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/15/2009\"}, {\"state\": \"New Mexico\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/12/2022\"}, {\"state\": \"New York\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/15/2009\"}, {\"state\": \"North Carolina\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/15/2009\"}, {\"state\": \"North Dakota\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"9/11/2023\"}, {\"state\": \"Ohio\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"9/25/2012\"}, {\"state\": \"Oklahoma\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"6/7/2022\"}, {\"state\": \"Oregon\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/15/2009\"}, {\"state\": \"Pennsylvania\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/15/2009\"}, {\"state\": \"Rhode Island\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"3/3/2022\"}, {\"state\": \"South Carolina\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"6/30/2011\"}, {\"state\": \"South Dakota\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"9/6/2023\"}, {\"state\": \"Tennessee\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/10/2013\"}, {\"state\": \"Texas\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/15/2009\"}, {\"state\": \"Texas\", \"regScope\": \"IA\", \"status\": \"APPROVED\", \"regDate\": \"1/15/2009\"}, {\"state\": \"Utah\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"9/7/2012\"}, {\"state\": \"Vermont\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"3/2/2023\"}, {\"state\": \"Virginia\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/15/2009\"}, {\"state\": \"Washington\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"5/7/2014\"}, {\"state\": \"West Virginia\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"6/5/2019\"}, {\"state\": \"Wisconsin\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/12/2022\"}, {\"state\": \"Wyoming\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"4/1/2014\"}], \"registeredSROs\": [{\"sro\": \"BOX Exchange LLC\", \"status\": \"APPROVED\"}, {\"sro\": \"Cboe Exchange, Inc.\", \"status\": \"APPROVED\"}, {\"sro\": \"FINRA\", \"status\": \"APPROVED\", \"CategoriesList\": [\"Full Registration/General Securities Representative\"]}, {\"sro\": \"NYSE American LLC\", \"status\": \"APPROVED\"}, {\"sro\": \"NYSE Arca, Inc.\", \"status\": \"APPROVED\"}, {\"sro\": \"NYSE Texas, Inc.\", \"status\": \"APPROVED\"}, {\"sro\": \"Nasdaq ISE, LLC\", \"status\": \"APPROVED\"}, {\"sro\": \"Nasdaq PHLX LLC\", \"status\": \"APPROVED\"}, {\"sro\": \"Nasdaq Stock Market\", \"status\": \"APPROVED\"}, {\"sro\": \"New York Stock Exchange\", \"status\": \"APPROVED\"}], \"brokerDetails\": {\"hasBCComments\": \"N\", \"hasIAComments\": \"N\", \"legacyReportStatusDescription\": \"Not Requested\"}}"}}]}}