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Richard H Krollman

Morgan Stanley

Fairfield, CT

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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-04-08
CT RA APPROVED 2011-05-26
  • TX RA
    APPROVED_RES
    Since 2020-04-08
  • CT RA
    APPROVED
    Since 2011-05-26

Branch Locations

1229 Post Road, Fairfield, CT 06824 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Smith Barney Fairfield CT 04/2011 Present
Morgan Stanley Private Bank, National Association New York NY 01/2015 Present
  • 04/2011 → Present
    Morgan Stanley Smith Barney
    Fairfield, CT
  • 01/2015 → Present
    Morgan Stanley Private Bank, National Association
    New York, NY
Previous Registrations
  • 2011-02-04 → 2011-05-26
    Moneco
    Fairfield, CT
  • 2009-12-01 → 2011-04-13
    Fairfield, CT
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-11-24
S63 Uniform Securities Agent State Law Examination 2001-04-12
  • S65 Uniform Investment Adviser Law Examination
    2009-11-24
  • S63 Uniform Securities Agent State Law Examination
    2001-04-12
Other Names
  • Richard Harold Krollman
  • Richard Harold Krollman,Jr
  • Rick Krollman
  • Richard Harold Krollman Jr

View on SEC IAPD

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