Individual Firm
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RISHA MARIE SCHILDKRAUT
CRD#: 5410682
IA
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MORGAN STANLEYCRD#: 149777 601 Union Street
Suite 2900
Seattle, WA 98101
Suite 2900
Seattle, WA 98101
0
Disclosures
11
Years of Experience
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State Registrations
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Alaska 8/20/2015
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Montana 3/3/2022
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Arizona 4/20/2015
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New Jersey 2/28/2022
B
California 4/20/2015
B
New Mexico 10/28/2016
B
Colorado 8/20/2015
B
New York 10/24/2016
B
Connecticut 8/8/2018
B
North Carolina 1/4/2018
B
District of Columbia 3/9/2023
B
North Dakota 9/20/2017
B
Florida 6/1/2017
B
Ohio 4/21/2015
B
Georgia 9/4/2020
B
Oregon 8/20/2015
B
Idaho 8/20/2015
B
Pennsylvania 8/9/2021
B
Indiana 5/5/2020
B
Texas 10/16/2014
B
Kentucky 1/2/2025
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Texas 2/25/2020
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Louisiana 6/9/2023
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Utah 10/18/2016
B
Maryland 4/20/2015
B
Virginia 12/20/2024
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Michigan 2/13/2024
B
Washington 5/2/2014
B
Minnesota 3/26/2015
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Washington 5/2/2014
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Mississippi 12/10/2024
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Wisconsin 2/20/2019
SRO Registrations
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Registered with this firm since 5/2/2014
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Registered with this firm since 5/2/2014
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/05/2013 - 04/16/2014 | SEATTLE, WA | |
B | 05/09/2013 - 04/16/2014 | SEATTLE, WA |
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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.