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Detailed Report
RICHARD A DAUM JR
RICHARD AUGUST DAUM JR, RICHARD A DAUM JR JR
CRD#: 1835832
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 Oakland, CA
Registration History
199019952000200520102015202020252 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - Present (15 years)BMORGAN STANLEY DW INC. (CRD# 7556)1999 - 2007 (8 years)BBAYSIDE FINANCIAL, LLC (CRD# 44211)1999 - 1999 (<1 year)BCRUM & FORSTER CUSTOM SECURITI... (CRD# 18310)1990 - 1993 (3 years)IAMORGAN STANLEY (CRD# 7556)1997 - 2007 (9 years)
License(s)

State Registrations

B
Arizona 6/1/2009
B
Nevada 6/1/2009
B
California 6/1/2009
B
New Hampshire 5/20/2021
IA
California 6/1/2009
B
New Jersey 6/1/2009
B
Colorado 6/1/2009
B
New York 6/1/2009
B
Delaware 3/1/2016
B
North Carolina 6/1/2009
B
Florida 6/1/2009
B
Ohio 6/1/2009
B
Georgia 6/1/2009
B
Oregon 6/1/2009
B
Idaho 11/2/2021
B
South Carolina 1/8/2021
B
Illinois 6/1/2009
B
Tennessee 8/19/2022
B
Iowa 5/22/2015
B
Texas 4/19/2024
B
Maine 5/15/2019
IA
Texas 4/29/2024
B
Maryland 8/2/2023
B
Vermont 12/8/2023
B
Massachusetts 2/25/2019
B
Virginia 6/1/2009
B
Minnesota 6/1/2009
B
Washington 6/1/2009
B
Missouri 6/1/2009
B
Wisconsin 11/18/2021

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)
Oakland, CA
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
Oakland, CA
Registered with this firm since 6/1/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) OAKLAND, CA
B
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) OAKLAND, CA
IA
 07/08/1997 - 04/02/2007 MORGAN STANLEY (CRD#:7556) OAKLAND, CA
B
 04/21/1999 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) OAKLAND, CA
B
 03/23/1999 - 04/29/1999 BAYSIDE FINANCIAL, LLC (CRD#:44211) WALNUT CREEK, CA
B
 02/13/1990 - 03/02/1993 CRUM & FORSTER CUSTOM SECURITIES, INC. (CRD#:18310) MORRISTOWN, NJ
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.