Individual Firm
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RITA CATHERINE GAFFNEY-LABARGE
RITA CATHERINE GAFFNEY, RITA CATHERINE MCLAUGHLIN
CRD#: 2144546
IA
B
MORGAN STANLEYCRD#: 149777 BEECHWOOD OFFICE PARK., 2678 SOUTH ROAD
POUGHKEEPSIE, NY 12601
POUGHKEEPSIE, NY 12601
0
Disclosures
33
Years of Experience
View By:
State Registrations
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Arizona 6/1/2009
B
Montana 7/26/2024
B
Arkansas 6/1/2009
B
New Hampshire 1/24/2025
B
California 6/1/2009
B
New Jersey 6/1/2009
B
Colorado 11/8/2018
B
New York 6/1/2009
B
Connecticut 6/1/2009
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New York 6/16/2021
B
Delaware 2/3/2016
B
North Carolina 6/1/2009
B
District of Columbia 2/9/2018
B
Oregon 2/20/2025
B
Florida 6/1/2009
B
Pennsylvania 6/1/2009
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Florida 1/4/2023
B
Puerto Rico 3/11/2019
B
Georgia 6/1/2009
B
Rhode Island 2/5/2024
B
Illinois 7/25/2016
B
South Carolina 2/29/2016
B
Indiana 6/1/2009
B
Tennessee 3/8/2019
B
Kentucky 6/6/2023
B
Texas 8/9/2018
B
Maine 9/27/2023
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Texas 5/15/2020
B
Maryland 9/29/2016
B
Virginia 1/5/2017
B
Massachusetts 6/1/2009
SRO Registrations
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Registered with this firm since 5/15/2020
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Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/01/2009 - 12/31/2011 | Naples, FL | |
IA | 04/29/2009 - 06/01/2009 | HURLEY, NY | |
B | 04/29/2009 - 06/01/2009 | HURLEY, NY | |
IA | 10/10/1997 - 05/01/2009 | POUGHKEEPSIE, NY | |
B | 05/09/1994 - 05/01/2009 | POUGHKEEPSIE, NY | |
B | 09/29/1993 - 05/19/1994 | ST. PETERSBURG, FL | |
B | 10/03/1992 - 09/23/1993 | NEW YORK, NY | |
B | 07/01/1992 - 07/29/1992 | NEW YORK, NY | |
B | 07/08/1991 - 05/11/1992 | NEW YORK, NY |
POUGHKEEPSIE, NY
10/10/1997 - 05/01/2009
POUGHKEEPSIE, NY
05/09/1994 - 05/01/2009
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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.
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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.