Individual Firm
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MICHAEL PAUL RICHARD
CRD#: 2486662
IA
B
MORGAN STANLEYCRD#: 149777 One Financial Plaza
Providence, RI 02903
Providence, RI 02903
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12/18/2008
Customer Dispute
Settled
9/22/2004
Customer Dispute
Denied
State Registrations
B
Arizona 6/1/2009
B
Nevada 6/1/2009
B
Arkansas 6/1/2009
B
New Hampshire 8/31/2021
B
California 6/1/2009
B
New York 2/11/2020
B
Connecticut 6/1/2009
B
North Carolina 9/6/2024
B
Florida 6/1/2009
B
Pennsylvania 2/1/2021
B
Georgia 10/8/2020
B
Rhode Island 6/1/2009
B
Hawaii 7/27/2020
IA
Rhode Island 6/1/2009
B
Illinois 7/29/2015
B
South Carolina 9/8/2016
B
Indiana 11/14/2022
B
Texas 6/1/2009
B
Louisiana 10/7/2015
IA
Texas 4/2/2020
B
Maryland 6/1/2009
B
Vermont 9/17/2021
B
Massachusetts 6/1/2009
B
Virginia 6/1/2009
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
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 | 02/21/2006 - 06/01/2009 | PROVIDENCE, RI | |
B | 02/21/2006 - 06/01/2009 | PROVIDENCE, RI | |
IA | 04/01/1999 - 02/21/2006 | PROVIDENCE, RI | |
B | 05/22/1998 - 02/21/2006 | BALTIMORE, MD | |
B | 06/20/1994 - 05/28/1998 | PURCHASE, NY |
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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.