FR
FR
Frederick Rickan
44 Years of Experience
Williamsville, NY
2 DisclosuresBroker
Frederick Rickan is a registered investment advisor at Morgan Stanley, based in Williamsville, NY, with 44 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,539,760 clients with $1700B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23050 advisors
IM Fee
Planning only
Assets Under Management
$1650.0B
Fee Structure
Investment management only (planning not offered)
Annual Retainer:Up to $500,000/year
Loading...
Location
450 Essjay Road, Suite 100, Williamsville, NY, 14221
Get directionsHistory
Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
November 2004Denied
Customer Dispute
February 1992Award / Judgment
Other Business Activities
Frederick coaches in the Lou Ehrig Youth Baseball League. This activity is not investment-related.
Employment History
Current Registrations
Morgan Stanley
June 2009 - Present · 16 yrs 11 mos
Morgan StanleyBroker
June 2009 - Present · 16 yrs 11 mos
Previous Registrations
Morgan Stanley & CO. Incorporated
November 2008 - June 2009 · 7 mos
Morgan Stanley & CO. IncorporatedBroker
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley Dw INC.Broker
May 1984 - April 2007 · 22 yrs 11 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
January 1982 - April 1984 · 2 yrs 3 mos
First Jersey Securities, INC.Broker
December 1981 - November 1982 · 11 mos
State Registrations31 states
AZCACOCTDCDEFLGAIDILINLAMAMDMIMONCNDNENJNMNYOHPARISCTNTXVAVTWA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.