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ALEXANDER JOHN RUDOLF
ALEX RUDOLF
CRD#: 4693870
IA
B
MORGAN STANLEYCRD#: 149777 555 California Street
35Th Floor
San Francisco, CA 94104
35Th Floor
San Francisco, CA 94104
0
Disclosures
19
Years of Experience
View By:
State Registrations
B
Alabama 7/15/2022
B
Nebraska 7/15/2022
B
Alaska 7/15/2022
B
Nevada 11/21/2011
B
Arizona 11/21/2011
B
New Hampshire 7/15/2022
B
Arkansas 7/15/2022
B
New Jersey 5/11/2020
B
California 8/16/2011
B
New Mexico 11/21/2011
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California 9/24/2011
B
New York 11/21/2011
B
Colorado 5/14/2014
B
North Carolina 2/19/2020
B
Connecticut 10/25/2017
B
North Dakota 7/15/2022
B
Delaware 8/25/2016
B
Ohio 7/16/2022
B
District of Columbia 8/19/2021
B
Oklahoma 7/15/2022
B
Florida 11/21/2011
B
Oregon 8/15/2016
B
Georgia 10/24/2017
B
Pennsylvania 7/15/2022
B
Hawaii 7/15/2022
B
Puerto Rico 7/15/2022
B
Idaho 11/21/2011
B
Rhode Island 7/15/2022
B
Illinois 3/5/2019
B
South Carolina 7/15/2022
B
Indiana 7/15/2022
B
South Dakota 7/15/2022
B
Iowa 7/15/2022
B
Tennessee 3/20/2020
B
Kansas 7/15/2022
B
Texas 11/21/2011
B
Kentucky 11/21/2011
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Texas 3/3/2020
B
Louisiana 7/15/2022
B
Utah 3/10/2017
B
Maine 7/15/2022
B
Vermont 7/15/2022
B
Maryland 7/15/2022
B
Virgin Islands 7/15/2022
B
Massachusetts 11/21/2011
B
Virginia 3/5/2019
B
Michigan 7/15/2022
B
Washington 11/21/2011
B
Minnesota 1/28/2019
B
West Virginia 8/24/2021
B
Mississippi 7/15/2022
B
Wisconsin 6/27/2022
B
Missouri 7/15/2022
B
Wyoming 7/15/2022
B
Montana 7/15/2022
SRO Registrations
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B
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Registered with this firm since 9/24/2011
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Registered with this firm since 8/16/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 11/09/2007 - 03/17/2010 | BURLINGAME, CA | |
B | 12/10/2003 - 10/08/2007 | SAN FRANCISCO, CA |
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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.
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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.