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RICHARD ALAN PETIT
RICHARD ECKLUND
CRD#: 1017746
IA
B
MORGAN STANLEYCRD#: 149777 2725 Sand Hill Road
PWM
Menlo Park, CA 94025
PWM
Menlo Park, CA 94025
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5/7/1993
Customer Dispute
Settled
State Registrations
B
Arizona 4/30/2018
B
Montana 4/13/2021
B
California 6/1/2009
B
Nevada 6/1/2009
IA
California 6/1/2009
B
New Jersey 6/1/2009
B
Colorado 6/1/2009
B
New York 6/1/2009
B
Connecticut 2/7/2018
B
North Carolina 6/1/2009
B
Delaware 5/15/2018
B
Ohio 8/16/2019
B
District of Columbia 2/22/2019
B
Oregon 6/1/2009
B
Florida 6/1/2009
B
Pennsylvania 6/1/2009
B
Georgia 10/23/2020
B
Rhode Island 8/22/2016
B
Hawaii 6/1/2009
B
South Dakota 1/20/2021
B
Idaho 8/15/2019
B
Tennessee 8/27/2020
B
Illinois 6/1/2009
B
Texas 6/1/2009
B
Kansas 10/3/2022
IA
Texas 6/1/2009
B
Maine 7/15/2022
B
Utah 6/1/2009
B
Maryland 1/10/2018
B
Virginia 6/1/2009
B
Massachusetts 6/1/2009
B
Washington 6/1/2009
B
Michigan 6/24/2014
B
Wisconsin 5/8/2018
B
Minnesota 12/23/2021
B
Wyoming 1/15/2021
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 6/1/2009
B
Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/09/1992 - 06/01/2009 | MENLO PARK, CA | |
B | 06/11/1990 - 06/01/2009 | MENLO PARK, CA | |
B | 10/22/1981 - 06/12/1990 | NEW YORK, NY |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.