Individual Firm
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RICHARD M STONE
RICHARD STONE, RICHARD M. STONE JR, RICHARD M STONE JR.
CRD#: 4089196
IA
B
MORGAN STANLEYCRD#: 149777 Jupiter, FL
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12/20/2012
Customer Dispute
Settled
State Registrations
B
Alabama 11/27/2023
B
New Hampshire 11/2/2022
B
California 11/19/2015
B
New Jersey 11/19/2015
B
Colorado 6/11/2021
B
New Mexico 12/7/2015
B
Connecticut 11/19/2015
B
New York 11/19/2015
IA
Connecticut 11/19/2015
B
North Carolina 11/19/2015
B
Delaware 6/29/2021
B
Ohio 6/21/2021
B
District of Columbia 8/2/2024
B
Oregon 8/9/2024
B
Florida 12/18/2015
B
Pennsylvania 6/21/2021
IA
Florida 12/21/2015
B
Rhode Island 2/12/2021
B
Georgia 7/25/2016
B
South Carolina 6/21/2021
B
Illinois 11/30/2015
B
Tennessee 11/27/2023
B
Louisiana 9/27/2024
B
Texas 11/19/2015
B
Maine 6/14/2021
IA
Texas 11/19/2015
B
Maryland 3/18/2016
B
Utah 11/28/2023
B
Massachusetts 12/7/2015
B
Vermont 11/19/2015
B
Michigan 6/23/2021
B
Virginia 11/19/2015
B
Minnesota 11/27/2023
B
Washington 12/15/2020
B
Missouri 8/1/2024
B
Wyoming 5/17/2024
B
Montana 8/5/2024
SRO Registrations
B
B
B
B
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IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/25/2006 - 11/30/2015 | PALM BEACH GARDENS, FL | |
B | 12/16/2002 - 11/30/2015 | PALM BEACH GARDENS, FL | |
B | 11/20/2001 - 11/13/2002 | NEW YORK, NY | |
B | 01/02/2000 - 11/07/2001 | NEW YORK, 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.