Richard Vincent Portogallo
Professional Summary
Richard Vincent Portogallo, who also goes by Rich Portogallo, Richard Portogallo, was a registered financial advisor. Richard was a previously registered financial professional and started their career in finance 1989 - 2012. Richard had worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 10, Series 9 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Rich Portogallo, Richard Portogallo
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
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Years of Experience
37 years in the financial services industry
Current & Past Employments
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Current Firm
MS SECURITIES SERVICES INC. | MS SECURITIES SERVICES, INC.
Contact Information
Established
Delaware since 07/13/1981Firm Type
CorporationFiscal Year End
DecemberDocuments
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
1Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Jul 2003About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Aug 2002About the Series 9 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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