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RICHARD JOHN SEPULVEDA
CRD#: 1688237
IA
B
MORGAN STANLEYCRD#: 149777 61 South Paramus Road
3Rd Floor
Paramus, NJ 07652
3Rd Floor
Paramus, NJ 07652
0
Disclosures
33
Years of Experience
View By:
State Registrations
B
California 6/1/2009
B
New Jersey 6/1/2009
B
Colorado 1/16/2015
IA
New Jersey 6/1/2009
B
Connecticut 6/1/2009
B
New York 6/1/2009
B
Florida 6/1/2009
B
Tennessee 1/14/2014
B
New Hampshire 8/24/2021
IA
Texas 12/17/2020
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 | 11/30/2006 - 06/01/2009 | PARAMUS, NJ | |
B | 07/31/1993 - 06/01/2009 | PARAMUS, NJ | |
B | 06/12/1992 - 07/31/1993 | NEW YORK, NY | |
B | 12/20/1988 - 04/14/1989 |
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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.