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ROXANNE GRISE
ROXANNE GRISÉ, ROXANNE RICCA
CRD#: 4419687
IA
B
MORGAN STANLEYCRD#: 149777 20 Linden Place
Red Bank, NJ 07701
Red Bank, NJ 07701
0
Disclosures
22
Years of Experience
View By:
State Registrations
B
Alabama 3/31/2020
B
Missouri 12/16/2013
B
Alaska 11/19/2015
B
Nevada 9/15/2023
B
Arizona 12/16/2013
B
New Hampshire 11/7/2022
B
California 6/1/2009
B
New Jersey 6/1/2009
B
Colorado 6/1/2009
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New Jersey 6/1/2009
B
Connecticut 3/18/2014
B
New York 6/1/2009
B
Delaware 6/1/2009
B
North Carolina 12/12/2013
B
District of Columbia 12/11/2013
B
Ohio 3/25/2020
B
Florida 6/1/2009
B
Oregon 9/15/2023
B
Georgia 2/14/2014
B
Pennsylvania 6/1/2009
B
Idaho 4/12/2021
B
Rhode Island 9/15/2023
B
Illinois 3/4/2022
B
South Carolina 12/11/2013
B
Iowa 6/2/2021
B
Tennessee 3/3/2020
B
Kansas 4/10/2018
B
Texas 4/12/2018
B
Kentucky 9/15/2023
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Texas 4/15/2020
B
Maine 4/6/2022
B
Vermont 3/31/2020
B
Maryland 3/31/2020
B
Virginia 12/16/2013
B
Massachusetts 12/11/2013
B
Washington 12/11/2013
B
Michigan 6/11/2019
B
West Virginia 11/2/2023
B
Minnesota 12/16/2013
B
Wisconsin 10/5/2023
SRO Registrations
B
B
B
B
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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 | 03/27/2009 - 06/01/2009 | WESTFIELD, NJ | |
B | 03/27/2009 - 06/01/2009 | WESTFIELD, NJ | |
IA | 05/18/2005 - 04/15/2009 | WESTFIELD, NJ | |
B | 05/18/2005 - 04/15/2009 | WESTFIELD, NJ | |
IA | 07/31/2003 - 08/30/2004 | ISELIN, NJ | |
B | 08/27/2001 - 08/30/2004 | 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.