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Detailed Report
RISHI D MANGAL
CRD#: 5032799
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 2141 Rosecrans Avenue
Suite 3100
El Segundo, CA 90245
Registration History
201020122014201620182020202220242026IAMORGAN STANLEY (CRD# 149777)2010 - Present (15 years)BMORGAN STANLEY (CRD# 149777)2009 - Present (15 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2009 - 2009 (<1 year)
License(s)

State Registrations

B
Alabama 7/11/2022
B
Minnesota 1/6/2020
B
Alaska 1/6/2020
B
Missouri 8/23/2022
B
Arizona 1/6/2020
B
Nevada 1/6/2020
B
California 10/23/2019
B
New Hampshire 1/6/2020
IA
California 10/23/2019
B
New Jersey 1/6/2020
B
Colorado 1/6/2020
B
New Mexico 1/6/2020
B
Connecticut 1/6/2020
B
New York 1/6/2020
B
Delaware 1/6/2020
B
North Carolina 1/6/2020
B
District of Columbia 7/11/2023
B
Oregon 1/6/2020
B
Florida 1/6/2020
B
Pennsylvania 11/13/2020
B
Georgia 1/6/2020
B
South Carolina 1/6/2020
B
Idaho 9/1/2022
B
South Dakota 7/16/2024
B
Illinois 1/6/2020
B
Texas 1/6/2020
B
Indiana 6/24/2024
IA
Texas 3/11/2020
B
Kansas 1/6/2020
B
Utah 1/6/2020
B
Maryland 1/6/2020
B
Virginia 1/6/2020
B
Massachusetts 1/6/2020
B
Washington 1/6/2020
B
Michigan 1/6/2020

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MORGAN STANLEY (CRD#:149777)
2141 Rosecrans Avenue Suite 3100, El Segundo, CA 90245
Registered with this firm since 2/22/2010
B
MORGAN STANLEY (CRD#:149777)
2141 Rosecrans Avenue Suite 3100, El Segundo, CA 90245
Registered with this firm since 6/1/2009
Previous Registration(s)
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B
 03/04/2009 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.