Individual Firm
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RICHARD PAUL BEHRENDT
CRD#: 1050456
IA
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MORGAN STANLEYCRD#: 149777 411 East Wisconsin Avenue
Suite 2200
Milwaukee, WI 53202
Suite 2200
Milwaukee, WI 53202
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Disclosures
42
Years of Experience
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State Registrations
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Arizona 1/6/2011
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Iowa 6/1/2009
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Arkansas 6/1/2009
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Michigan 1/2/2020
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California 6/1/2009
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Minnesota 7/5/2023
B
Florida 6/1/2009
B
Texas 6/1/2009
B
Georgia 5/22/2017
IA
Texas 7/23/2014
B
Illinois 6/1/2009
B
Wisconsin 6/1/2009
B
Indiana 2/9/2018
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Wisconsin 6/1/2009
SRO Registrations
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IA
Registered with this firm since 6/1/2009
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Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/06/1994 - 06/01/2009 | MILWAUKEE, WI | |
B | 06/06/1994 - 06/01/2009 | MILWAUKEE, WI | |
B | 08/12/1982 - 06/14/1994 | ST. LOUIS, MO | |
B | 06/28/1982 - 08/05/1982 |
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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.