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RICHARD J ESPOSITO
CRD#: 4050690
IA
B
MORGAN STANLEYCRD#: 149777 233 South Wacker Drive
Suite 8600
Chicago, IL 60606
Suite 8600
Chicago, IL 60606
0
Disclosures
24
Years of Experience
View By:
State Registrations
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Alabama 1/18/2011
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Montana 1/18/2011
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Alaska 1/18/2011
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Nebraska 1/18/2011
B
Arizona 4/9/2010
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Nevada 1/18/2011
B
Arkansas 1/18/2011
B
New Hampshire 4/9/2010
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California 4/9/2010
B
New Jersey 4/9/2010
B
Colorado 4/9/2010
B
New Mexico 4/9/2010
B
Connecticut 4/9/2010
B
New York 4/9/2010
B
Delaware 4/9/2010
B
North Carolina 4/9/2010
B
District of Columbia 4/9/2010
B
North Dakota 1/18/2011
B
Florida 6/1/2009
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Ohio 4/9/2010
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Georgia 4/9/2010
B
Oklahoma 1/18/2011
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Hawaii 1/18/2011
B
Oregon 4/9/2010
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Idaho 4/9/2010
B
Pennsylvania 4/9/2010
B
Illinois 6/1/2009
B
Puerto Rico 1/18/2011
IA
Illinois 6/1/2009
B
Rhode Island 4/9/2010
B
Indiana 4/9/2010
B
South Carolina 4/9/2010
B
Iowa 4/9/2010
B
South Dakota 1/18/2011
B
Kansas 1/18/2011
B
Tennessee 4/9/2010
B
Kentucky 4/9/2010
B
Texas 4/9/2010
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Louisiana 4/9/2010
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Texas 4/18/2012
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Maine 4/9/2010
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Utah 1/18/2011
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Maryland 4/9/2010
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Vermont 4/11/2012
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Massachusetts 4/9/2010
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Virginia 4/9/2010
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Michigan 6/1/2009
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Washington 4/9/2010
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Minnesota 4/9/2010
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West Virginia 1/18/2011
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Mississippi 1/18/2011
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Wisconsin 4/9/2010
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Missouri 4/9/2010
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Wyoming 4/9/2010
SRO Registrations
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View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
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IA
Registered with this firm since 6/1/2009
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Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/31/2007 - 06/01/2009 | CHICAGO, IL | |
B | 12/07/2004 - 06/01/2009 | CHICAGO, IL | |
B | 11/29/2001 - 11/22/2004 | FORT WAYNE, IN | |
B | 11/29/2001 - 11/22/2004 | FORT WAYNE, IN | |
B | 12/09/1999 - 08/15/2001 | OMAHA, NE |
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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.