Individual Firm
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RICHARD MURRAY HELD
CRD#: 4571889
IA
B
ADVICE AND PLANNING SERVICESCRD#: 20472 97 MT. AUBURN STREET
CAMBRIDGE, MA 02138
CAMBRIDGE, MA 02138
0
Disclosures
21
Years of Experience
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State Registrations
B
Connecticut 8/26/2015
B
New Hampshire 8/26/2015
B
Florida 8/26/2015
B
New Jersey 4/8/2016
B
Maine 8/26/2015
B
New York 8/26/2015
B
Massachusetts 8/26/2015
B
Rhode Island 8/26/2015
IA
Massachusetts 9/2/2015
B
Vermont 8/26/2015
SRO Registrations
B
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IA
Registered with this firm since 9/2/2015
B
Registered with this firm since 8/26/2015
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/01/2014 - 08/18/2015 | MANSFIELD, MA | |
B | 04/09/2014 - 08/18/2015 | MANSFIELD, MA | |
IA | 01/20/2010 - 04/10/2014 | BOSTON, MA | |
B | 01/19/2010 - 04/10/2014 | BOSTON, MA | |
IA | 10/20/2004 - 04/28/2009 | CAMBRIDGE, MA | |
B | 10/20/2004 - 04/28/2009 | CAMBRIDGE, MA | |
IA | 04/15/2004 - 10/20/2004 | CAMBRIDGE, MA | |
B | 04/13/2004 - 10/20/2004 | NEW YORK, NY | |
B | 09/05/2002 - 03/26/2004 | PURCHASE, NY |
MANSFIELD, MA
05/01/2014 - 08/18/2015
MANSFIELD, MA
04/09/2014 - 08/18/2015
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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.