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Richard Daniel Land
RICHARD D LAND
CRD#: 4798233
IA
B
MORGAN STANLEYCRD#: 149777 112 Worcester Street
Wellesley, MA 02481
Wellesley, MA 02481
0
Disclosures
18
Years of Experience
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State Registrations
IA
Connecticut 8/13/2019
B
Massachusetts 8/14/2019
B
Connecticut 8/14/2019
SRO Registrations
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B
B
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IA
Registered with this firm since 8/13/2019
B
Registered with this firm since 8/14/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/13/2016 - 08/15/2017 | GREENWICH, CT | |
B | 09/13/2016 - 08/15/2017 | GREENWICH, CT | |
IA | 11/21/2012 - 09/16/2016 | GREENWICH, CT | |
B | 05/29/2007 - 09/16/2016 | GREENWICH, CT | |
B | 05/24/2004 - 05/29/2007 | STAMFORD, CT |
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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.