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JEAN KATHERINE QUINLAN RIGGI
JEAN KATHERINE QUINLAN, JEAN KATHERINE RIGGI
CRD#: 5099350
IA
B
MORGAN STANLEYCRD#: 149777 301 Congress Avenue
Suite 1400
Austin, TX 78701
Suite 1400
Austin, TX 78701
0
Disclosures
18
Years of Experience
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State Registrations
B
Alaska 6/29/2017
B
Michigan 1/3/2011
B
Arizona 1/3/2011
B
Missouri 11/17/2021
B
California 6/1/2009
B
Montana 6/27/2019
IA
California 6/1/2009
B
Nebraska 1/10/2012
B
Colorado 1/3/2011
B
Nevada 1/3/2011
B
Connecticut 1/3/2011
B
New Hampshire 2/26/2018
B
Delaware 1/3/2011
B
New York 1/3/2011
B
District of Columbia 3/7/2013
B
North Carolina 3/6/2015
B
Florida 1/3/2011
B
Ohio 1/3/2011
B
Georgia 1/6/2020
B
Oklahoma 3/14/2012
B
Hawaii 1/10/2012
B
Oregon 1/3/2011
B
Idaho 1/27/2021
B
South Dakota 6/2/2023
B
Illinois 1/3/2011
B
Tennessee 1/6/2020
B
Indiana 3/19/2024
B
Texas 1/3/2011
B
Iowa 1/3/2011
IA
Texas 1/11/2011
B
Kansas 12/14/2022
B
Utah 2/12/2020
B
Maryland 7/17/2023
B
Virginia 1/3/2011
B
Massachusetts 1/3/2011
B
Washington 1/3/2011
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 | 04/02/2007 - 06/01/2009 | CONCORD, CA | |
B | 04/02/2007 - 06/01/2009 | CONCORD, CA | |
IA | 02/05/2007 - 04/02/2007 | CONCORD, CA | |
B | 12/05/2006 - 04/02/2007 | CONCORD, 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.
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.