Individual Firm
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JOSHUA DAVID RIGA
JOSHUA D RIGA
CRD#: 5020136
IA
B
MORGAN STANLEYCRD#: 149777 34901 Woodward Avenue
Suite 300
Birmingham, MI 48009
Suite 300
Birmingham, MI 48009
View By:
10/31/2024
Judgment / Lien
4/27/2010
Customer Dispute
Settled
State Registrations
B
Arizona 3/20/2017
B
New Jersey 4/26/2017
B
California 6/1/2009
B
New York 6/1/2009
B
Colorado 6/1/2009
B
North Carolina 12/19/2024
B
Connecticut 6/1/2009
B
Ohio 6/1/2009
B
Delaware 10/16/2009
B
Oklahoma 1/20/2012
B
District of Columbia 3/30/2012
B
Rhode Island 1/10/2017
B
Florida 6/1/2009
B
South Carolina 5/3/2018
B
Georgia 6/1/2009
B
Texas 2/22/2011
B
Illinois 10/12/2009
IA
Texas 3/8/2011
B
Maryland 6/1/2009
B
Virginia 1/3/2020
B
Massachusetts 6/1/2009
B
Washington 8/4/2022
B
Michigan 6/1/2009
B
Wisconsin 5/9/2017
IA
Michigan 6/3/2010
B
Wyoming 2/14/2018
B
Minnesota 3/3/2017
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 6/1/2009
B
Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/16/2009 - 06/01/2009 | BIRMINGHAM, MI | |
B | 03/16/2009 - 06/01/2009 | BIRMINGHAM, MI | |
IA | 02/14/2006 - 03/26/2009 | BIRMINGHAM, MI | |
B | 10/20/2005 - 03/26/2009 | BIRMINGHAM, MI |
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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.