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Detailed Report
RICHARD KENT GRIMSHAW
RICK GRIMSHAW
CRD#: 1188832
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 760 SW 9th Avenue
Suite 2100
Portland, OR 97205
Registration History
1985199019952000200520102015202020252 FIRMS2003 - 2004 (1 year)2 FIRMS2004 - 2009 (4 years)2 FIRMS2009 - Present (15 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1990 - 2003 (13 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1983 - 1990 (6 years)IAPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1997 - 2003 (5 years)
Disclosure(s)
View By:
1/9/1987
Customer Dispute
Settled
1/5/1987
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 1/28/2022
B
Nevada 8/12/2013
B
Alaska 12/21/2022
B
New Jersey 5/3/2024
B
Arizona 1/4/2019
B
New York 6/1/2009
B
Arkansas 8/2/2022
B
North Carolina 2/2/2022
B
California 6/1/2009
B
Ohio 5/5/2024
B
Colorado 2/20/2013
B
Oregon 6/1/2009
B
District of Columbia 7/2/2018
IA
Oregon 6/1/2009
B
Florida 4/16/2021
B
Pennsylvania 8/22/2014
B
Georgia 12/14/2022
B
Texas 6/27/2018
B
Idaho 5/23/2016
IA
Texas 4/23/2020
B
Illinois 2/8/2019
B
Utah 7/30/2019
B
Indiana 1/13/2023
B
Virginia 6/3/2019
B
Iowa 7/11/2019
B
Washington 6/1/2009
B
Massachusetts 2/12/2013
IA
Washington 3/10/2011
B
Michigan 3/15/2024
B
Wisconsin 12/7/2018
B
Minnesota 9/19/2024
B
Wyoming 10/9/2020
B
Missouri 4/8/2024

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MORGAN STANLEY (CRD#:149777)
760 SW 9th Avenue Suite 2100, Portland, OR 97205
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
760 SW 9th Avenue Suite 2100, Portland, OR 97205
Registered with this firm since 6/1/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 08/09/2004 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) PORTLAND, OR
B
 08/06/2004 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) PORTLAND, OR
IA
 07/01/2003 - 08/13/2004 WACHOVIA SECURITIES, LLC (CRD#:19616) PORTLAND, OR
B
 07/01/2003 - 08/13/2004 WACHOVIA SECURITIES, LLC (CRD#:19616) ST. LOUIS, MO
IA
 10/28/1997 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) PORTLAND, OR
B
 04/09/1990 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
 09/22/1983 - 03/27/1990 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.