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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Krollman is an investment advisor representative with Morgan Stanley, with over 20 years of experience in the financial industry. Richard has a broad background in securities, with experience in firms like Barclays Capital, SG Americas Securities, and Fidelity Brokerage Services. Richard specializes in portfolio management for individuals, businesses, and investment companies. Richard is registered in 26 states and the District of Columbia, and has been actively involved in the financial services industry since 2002.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation advice
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CT
04/08/2020 - Present
Morgan Stanley (Fairfield CT)
CT
10/01/2009 - 04/13/2011
LPL FINANCIAL LLC (FAIRFIELD CT)
NY
04/01/2008 - 02/12/2009
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
09/17/2004 - 03/27/2008
SG AMERICAS SECURITIES, LLC (NEW YORK NY)
NY
05/19/2003 - 07/09/2004
THE BENCHMARK COMPANY, LLC (NEW YORK NY)
RI
10/21/1999 - 11/29/2001
FIDELITY BROKERAGE SERVICES LLC (SMITHFIELD RI)
IA
Issued 11/24/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/12/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/18/2005
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 10/20/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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