Individual Firm
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STEVEN HAAG RIGA
CRD#: 1067093
IA
B
MORGAN STANLEYCRD#: 149777 34901 Woodward Avenue
Suite 300
Birmingham, MI 48009
Suite 300
Birmingham, MI 48009
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8/3/2017
Customer Dispute
Settled
4/27/2010
Customer Dispute
Settled
3/16/2009
Customer Dispute
Denied
7/22/1991
Customer Dispute
Settled
State Registrations
B
Alaska 10/31/2019
B
Minnesota 11/6/2013
B
Arizona 4/14/2016
B
New Jersey 6/1/2009
B
California 6/1/2009
B
New York 6/1/2009
B
Colorado 6/1/2009
B
North Carolina 12/19/2024
B
Connecticut 6/1/2009
B
Ohio 6/1/2009
B
Delaware 6/1/2009
B
Oklahoma 5/9/2017
B
District of Columbia 5/11/2017
B
Rhode Island 6/1/2009
B
Florida 6/1/2009
B
South Carolina 5/17/2018
B
Georgia 6/1/2009
B
Texas 6/1/2009
B
Illinois 6/1/2009
IA
Texas 6/1/2009
B
Maryland 6/1/2009
B
Virginia 1/8/2020
B
Massachusetts 6/1/2009
B
Wisconsin 6/1/2009
B
Michigan 6/1/2009
B
Wyoming 2/8/2018
IA
Michigan 6/3/2010
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 | 03/13/2009 - 06/01/2009 | BIRMINGHAM, MI | |
B | 03/13/2009 - 06/01/2009 | BIRMINGHAM, MI | |
IA | 06/01/2004 - 03/26/2009 | BIRMINGHAM, MI | |
B | 05/19/1997 - 03/26/2009 | BIRMINGHAM, MI | |
B | 07/06/1983 - 05/13/1997 | NEW YORK, NY | |
B | 11/24/1982 - 07/05/1983 |
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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.