Richard Dorfman is a registered investment advisor at Morgan Stanley, based in Melville, NY, with 37 years of industry experience. Richard is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, High Net Worth, Investment Management, Retirement Planning. Their firm serves 2,703,720 clients with $2000B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Morgan Stanley Smith Barney LLC charges a fee for its consulting services, which is generally payable quarterly in advance. The maximum fee for the services is $500,000, and fees are negotiable between the client and their private wealth advisor.
Location
58 South Service Road, Suite 400, Melville, NY, 11747
Get directionsHistory
Regulatory History (1)
Customer Dispute
September 1994Employment History
Current Registrations
Morgan Stanley
Morgan StanleyBroker
Previous Registrations
Morgan Stanley & CO. IncorporatedBroker
Morgan Stanley Dw INC.Broker
Wachovia Securities, LLCBroker
Prudential Securities IncorporatedBroker
Painewebber IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Prudential-Bache Securities INC.Broker
State Registrations28 states
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
More Advisors
- Stephen LawlessMorgan Stanley
- Brandon Kaley, CFPMorgan Stanley
- Michael LupiaMorgan Stanley
- Bryan Caggiano, CFPMorgan Stanley
- Brett JacobsonMorgan Stanley
- John TraynorMorgan Stanley