Richard V. Portogallo
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard Vincent Portogallo, who also goes by Rich Portogallo, Richard Portogallo, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1989. Richard had worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2007 - August 21, 2012
MS SECURITIES SERVICES INC.
April 28, 2000 - March 21, 2006
MS SECURITIES SERVICES INC.
March 28, 1996 - March 21, 2006
PRIME DEALER SERVICES CORP.
March 27, 1989 - April 2, 2020
MORGAN STANLEY & CO. LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MS SECURITIES SERVICES INC.
CRD#: 14276 / SEC#: , 8-26804
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY & CO. LLC | SHAREHOLDER | |
| ASSOMULL, MOHIT ASHOK | DIRECTOR | 3103550 |
| KELLEHER, THOMAS C | DIRECTOR, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 5746390 |
| LUPETIN, SERGIO JOSEPH | CHIEF FINANCIAL OFFICER | 1221963 |
| MCEVOY, GRAEME | CHIEF OPERATIONS OFFICER | 5595318 |
| MEATES, HELEN THERESE | DIRECTOR | 2271715 |
| RICHTER, ROSEANNE NANCY | CHIEF COMPLIANCE OFFICER | 1771193 |
| WIPF, THOMAS GEORGE | DIRECTOR | 1559273 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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