Individual Firm
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RICHARD ERIC WARE
RICK WARE
CRD#: 2454501
IA
B
MORGAN STANLEYCRD#: 149777 150 Second Avenue North
Suite 1400
St. Petersburg, FL 33701
Suite 1400
St. Petersburg, FL 33701
0
Disclosures
31
Years of Experience
View By:
State Registrations
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Arizona 6/1/2009
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Nebraska 2/12/2018
B
California 3/15/2017
B
New Hampshire 2/23/2017
B
Colorado 5/8/2017
B
New Jersey 6/1/2009
B
Connecticut 6/1/2009
B
New Mexico 4/26/2017
B
Florida 6/1/2009
B
New York 6/1/2009
IA
Florida 6/1/2009
B
North Carolina 6/1/2009
B
Georgia 6/1/2009
B
Ohio 6/1/2009
B
Hawaii 8/17/2022
B
Oregon 6/1/2009
B
Illinois 6/1/2009
B
Pennsylvania 6/1/2009
B
Indiana 11/1/2021
B
Texas 6/1/2009
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Kentucky 6/1/2009
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Texas 6/1/2009
B
Maine 7/30/2015
B
Vermont 1/19/2022
B
Maryland 6/1/2009
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Virginia 1/29/2013
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Massachusetts 6/1/2009
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Washington 6/1/2009
B
Michigan 6/1/2009
B
West Virginia 6/1/2009
B
Minnesota 6/1/2009
B
Wisconsin 7/25/2024
B
Missouri 6/1/2009
SRO Registrations
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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 | 04/02/2007 - 06/01/2009 | ST. PETERSBURG, FL | |
B | 04/02/2007 - 06/01/2009 | ST. PETERSBURG, FL | |
IA | 03/24/1994 - 04/02/2007 | ST. PETERSBURG, FL | |
B | 03/17/1994 - 04/02/2007 | ST. PETERSBURG, FL |
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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.