Individual Firm
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DANIEL CLYDE RICHARDSON
DAN RICHARDSON
CRD#: 2693621
IA
B
MORGAN STANLEYCRD#: 149777 4114 Woodlands Parkway
Suite 200
Palm Harbor, FL 34685
Suite 200
Palm Harbor, FL 34685
View By:
1/16/2020
Customer Dispute
Denied
State Registrations
B
Arizona 1/29/2015
B
Missouri 2/2/2012
B
California 6/1/2009
B
New Jersey 6/1/2009
B
District of Columbia 6/1/2009
B
New York 6/1/2009
B
Florida 6/1/2009
B
North Carolina 6/1/2009
IA
Florida 6/1/2009
B
Ohio 8/31/2016
B
Georgia 6/13/2014
B
Oregon 8/24/2022
B
Illinois 5/13/2019
B
Pennsylvania 7/28/2017
B
Indiana 3/27/2013
B
South Carolina 1/20/2015
B
Kansas 8/3/2022
B
Tennessee 8/9/2018
B
Louisiana 4/17/2019
B
Texas 10/14/2020
B
Massachusetts 6/1/2009
IA
Texas 10/15/2020
B
Michigan 1/20/2010
B
Virginia 11/8/2019
B
Minnesota 10/1/2009
B
Wisconsin 6/27/2023
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 | 08/16/2007 - 06/01/2009 | TAMPA, FL | |
B | 08/02/2007 - 06/01/2009 | TAMPA, FL | |
B | 10/01/2000 - 04/26/2007 | TAMPA, FL | |
B | 02/18/2000 - 10/01/2000 | CHARLOTTE, NC | |
B | 01/30/1996 - 06/25/1998 | CHARLOTTE, NC |
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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.