Individual Firm
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RICHARD H KROLLMAN
RICHARD HAROLD KROLLMAN, RICK KROLLMAN, RICHARD HAROLD KROLLMAN JR, RICHARD HAROLD KROLLMAN,JR
CRD#: 4003217
IA
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MORGAN STANLEYCRD#: 149777 1229 Post Road
Fairfield, CT 06824
Fairfield, CT 06824
View By:
4/4/2017
Customer Dispute
Settled
State Registrations
B
California 3/21/2013
B
New Hampshire 1/11/2023
B
Colorado 7/24/2024
B
New Jersey 4/13/2011
B
Connecticut 4/13/2011
B
New Mexico 2/5/2025
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Connecticut 5/26/2011
B
New York 4/13/2011
B
District of Columbia 3/13/2023
B
North Carolina 8/29/2022
B
Florida 1/8/2013
B
Pennsylvania 12/24/2013
B
Georgia 7/25/2017
B
Rhode Island 7/11/2023
B
Illinois 10/4/2023
B
South Carolina 1/31/2024
B
Maine 7/15/2024
B
Texas 6/4/2019
B
Maryland 9/8/2017
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Texas 4/8/2020
B
Massachusetts 4/13/2011
B
Vermont 4/29/2014
B
Michigan 11/1/2022
B
Virgin Islands 8/28/2024
B
Minnesota 1/12/2017
B
Virginia 9/5/2018
B
Missouri 11/18/2024
B
Washington 10/31/2023
SRO Registrations
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B
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Registered with this firm since 5/26/2011
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Registered with this firm since 4/13/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/04/2011 - 05/26/2011 | FAIRFIELD, CT | |
IA | 12/01/2009 - 04/13/2011 | FAIRFIELD, CT | |
B | 10/01/2009 - 04/13/2011 | FAIRFIELD, CT | |
B | 04/01/2008 - 02/12/2009 | NEW YORK, NY | |
B | 09/17/2004 - 03/27/2008 | NEW YORK, NY | |
B | 05/19/2003 - 07/09/2004 | NEW YORK, NY | |
B | 10/21/1999 - 11/29/2001 | SMITHFIELD, RI |
FAIRFIELD, CT
02/04/2011 - 05/26/2011
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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.