Individual Firm
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TROY RAZEGGI
FRED RAZEGGI
CRD#: 6152634
IA
B
MORGAN STANLEYCRD#: 149777 9665 Wilshire Boulevard
Suite 600
Beverly Hills, CA 90212
Suite 600
Beverly Hills, CA 90212
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4/23/2015
Customer Dispute
Settled
State Registrations
B
California 11/1/2019
B
Hawaii 11/1/2019
IA
California 11/5/2019
B
Nevada 11/1/2019
B
Florida 11/1/2019
B
New York 11/1/2019
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 11/1/2019
B
Registered with this firm since 11/1/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/22/2016 - 11/07/2019 | EL SEGUNDO, CA | |
B | 04/22/2016 - 11/07/2019 | EL SEGUNDO, CA | |
IA | 10/24/2013 - 05/10/2016 | BEVERLY HILLS, CA | |
B | 09/26/2013 - 05/10/2016 | BEVERLY HILLS, CA | |
B | 04/08/2013 - 08/15/2013 | LOS ANGELES, CA |
EL SEGUNDO, CA
04/22/2016 - 11/07/2019
EL SEGUNDO, CA
04/22/2016 - 11/07/2019
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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.