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Detailed Report
RIVKA MAROM FRANCO
RIVKA MAROM
CRD#: 4492978
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 1400 Page Mill Road
Palo Alto, CA 94304
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2002 - 2004 (1 year)2 FIRMS2004 - 2010 (6 years)2 FIRMS2010 - Present (14 years)
License(s)

State Registrations

B
Arkansas 7/24/2024
B
Rhode Island 7/24/2024
B
California 7/29/2010
B
South Carolina 7/24/2024
IA
California 7/30/2010
B
South Dakota 7/24/2024
B
Delaware 3/21/2023
B
Tennessee 7/24/2024
B
District of Columbia 6/30/2023
B
Texas 7/24/2024
B
Michigan 7/24/2024
IA
Texas 7/26/2024
B
Nevada 6/9/2020
B
Utah 7/24/2024
B
New York 1/5/2016
B
Vermont 7/24/2024
B
North Carolina 7/24/2024
B
Virgin Islands 7/24/2024
B
North Dakota 7/24/2024
B
Virginia 7/24/2024
B
Ohio 7/30/2024
B
Washington 6/12/2019
B
Oklahoma 7/24/2024
B
West Virginia 7/24/2024
B
Oregon 1/5/2023
B
Wisconsin 7/24/2024
B
Pennsylvania 7/24/2024
B
Wyoming 7/24/2024
B
Puerto Rico 7/24/2024

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MORGAN STANLEY (CRD#:149777)
1400 Page Mill Road, Palo Alto, CA 94304
sunnyvale, CA
Registered with this firm since 7/30/2010
B
MORGAN STANLEY (CRD#:149777)
1400 Page Mill Road, Palo Alto, CA 94304
sunnyvale, CA
Registered with this firm since 7/29/2010
Previous Registration(s)
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IA
 01/06/2004 - 07/30/2010 LEUMI INVESTMENT SERVICES INC. (CRD#:105387) PALO ALTO, CA
B
 01/06/2004 - 07/30/2010 LEUMI INVESTMENT SERVICES INC. (CRD#:105387) PALO ALTO, CA
IA
 03/18/2002 - 01/05/2004 INVEST FINANCIAL CORPORATION (CRD#:12984) PALO ALTO, CA
B
 02/28/2002 - 01/05/2004 INVEST FINANCIAL CORPORATION (CRD#:12984) APPLETON, WI
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.