Individual Firm
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Richard Raymond Racofsky
CRD#: 6830819
IA
B
MORGAN STANLEYCRD#: 149777 800 Newport Center Drive
Suite 500
Newport Beach, CA 92660
Suite 500
Newport Beach, CA 92660
0
Disclosures
7
Years of Experience
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State Registrations
B
Arkansas 10/28/2024
B
Rhode Island 4/4/2018
B
California 1/18/2018
B
Texas 1/5/2023
IA
California 1/18/2018
IA
Texas 1/18/2023
B
Massachusetts 2/1/2019
B
Utah 9/25/2018
B
Nevada 8/8/2019
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 1/18/2018
B
Registered with this firm since 1/18/2018
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/13/2017 - 01/19/2018 | IRVINE, CA | |
B | 07/21/2017 - 01/19/2018 | IRVINE, 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.