Individual Firm
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DAVID BENJAMIN RAPHAN
CRD#: 4552866
IA
B
MORGAN STANLEYCRD#: 149777 1801 North Military Trail
Suite 300
Boca Raton, FL 33431
Suite 300
Boca Raton, FL 33431
0
Disclosures
17
Years of Experience
View By:
State Registrations
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Alabama 2/3/2021
B
Missouri 1/5/2021
B
Alaska 6/2/2022
B
Nevada 12/4/2020
B
Arizona 12/4/2020
B
New Hampshire 12/4/2020
B
Arkansas 12/4/2020
B
New Jersey 12/4/2020
B
California 12/4/2020
B
New York 12/4/2020
B
Colorado 12/4/2020
B
North Carolina 12/4/2020
B
Connecticut 12/4/2020
B
Ohio 1/3/2024
B
Delaware 12/4/2020
B
Oklahoma 2/3/2021
B
District of Columbia 12/4/2020
B
Oregon 12/4/2020
B
Florida 12/4/2020
B
Pennsylvania 12/4/2020
IA
Florida 12/7/2020
B
South Carolina 12/4/2020
B
Georgia 12/4/2020
B
Tennessee 12/4/2020
B
Illinois 12/4/2020
B
Texas 12/4/2020
B
Maryland 12/4/2020
IA
Texas 12/4/2020
B
Massachusetts 12/4/2020
B
Vermont 1/13/2021
B
Minnesota 2/23/2023
B
Virginia 12/4/2020
B
Mississippi 5/14/2024
B
Washington 12/4/2020
SRO Registrations
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B
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IA
Registered with this firm since 12/4/2020
B
Registered with this firm since 12/4/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/19/2008 - 12/15/2020 | BOCA RATON, FL | |
B | 05/13/2008 - 12/15/2020 | BOCA RATON, FL | |
IA | 11/20/2007 - 05/15/2008 | BOCA RATON, FL | |
B | 11/05/2007 - 05/15/2008 | BOCA RATON, FL |
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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.