Richard Matthew Brendza

Current Employers

Raymond James & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

Authority	Category	Status	Date
OH	RA	APPROVED	2024-03-18
TX	RA	APPROVED_RES	2021-07-30
IL	RA	APPROVED	2018-04-23

OH RA
APPROVED

Since 2024-03-18
TX RA
APPROVED_RES

Since 2021-07-30
IL RA
APPROVED

Since 2018-04-23

Branch Locations

120 S Riverside Suite 700, Chicago, IL 60606 • United States

Cincinnati, OH • United States

201 E 5Th Street Suite 2500, Cincinatti, OH 45202 • United States

Disclosures

2 disclosure categories 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 Yes
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination Yes

Employment History

Organization	City	State	From	To
Morgan Stanley & Co., Incorporated	Chicago	IL	04/2007	04/2018
Morgan Stanley Smith Barney	Chicago	IL	06/2009	04/2018
Morgan Stanley Private Bank, National Association	New York	NY	01/2015	04/2018
Raymond James & Associates	Chicago	IL	04/2018	Present
Dgb Management Llc	Glenview	IL	01/2021	Present

04/2007 → 04/2018

Morgan Stanley & Co., Incorporated

Chicago, IL
06/2009 → 04/2018

Morgan Stanley Smith Barney

Chicago, IL
01/2015 → 04/2018

Morgan Stanley Private Bank, National Association

New York, NY
04/2018 → Present

Raymond James & Associates

Chicago, IL
01/2021 → Present

Dgb Management Llc

Glenview, IL

Previous Registrations

2009-06-01 → 2018-05-22

Morgan Stanley

Chicago, IL
2007-04-02 → 2009-06-01

Morgan Stanley & Co. Llc

Chicago, IL
1998-02-26 → 2007-04-02

Morgan Stanley Dw Inc.

Chicago, IL

Chicago, IL

Other Businesses

(1) Name of Business: 921 Columbus LLC Address: Columbus, Wilmette, IL, 60091, United States Activity Type: Rental Real Estate Position/Title: Partner Investment Related: Yes Start Date: 01/10/2022 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: This account is being formed by my late wife's family to deposit the proceeds from a rental residential house, (2) Name of Business: DGB Family Partnership Address: Greenwillow, glenview, IL, 60025, United States Activity Type: Rental Real Estate Position/Title: Partner Investment Related: Yes Start Date: 06/18/2018 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: This account was formed by my late wife's family to invest the proceeds of the DGB Management LLC (residential real estate). (3) Name of Business: DGB Management LLC Address: Greenwillow, Glenview, IL, 60025, United States Activity Type: Business Owner Position/Title: Owner/Proprietor Investment Related: No Start Date: 01/04/2021 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: The LLC was formed to limit the liability of the owner, Occasionally, my work may include janitorial/maintenance.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1994-09-07
S63	Uniform Securities Agent State Law Examination	1992-06-26

S65 Uniform Investment Adviser Law Examination

1994-09-07
S63 Uniform Securities Agent State Law Examination

1992-06-26

View on SEC IAPD