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Richard Spencer is a registered investment advisor at Morgan Stanley, based in Naples, FL, with 39 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
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Location
8889 Pelican Bay Boulevard, Suite 300, Naples, FL, 34108
Get directionsHistory
Regulatory History (1)
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Customer Dispute
September 2002Settled
Other Business Activities
Richard is a board member at Bishop Kearney High School, a fundraising activity. He spends minimal time on this activity both during and after business hours.
Employment History
Current Registrations
Morgan Stanley
January 2010 - Present · 16 yrs 6 mos
Morgan StanleyBroker
June 2009 - Present · 17 yrs 1 mo
Previous Registrations
Morgan Stanley Smith Barney LLC
June 2009 - October 2009 · 4 mos
Morgan Stanley & CO. IncorporatedBroker
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley & CO. Incorporated
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley
September 2006 - April 2007 · 7 mos
Morgan Stanley
December 2002 - June 2006 · 3 yrs 6 mos
Morgan Stanley Dw INC.Broker
November 2000 - April 2007 · 6 yrs 5 mos
Prudential Securities IncorporatedBroker
September 1993 - November 2000 · 7 yrs 2 mos
Dean Witter Reynolds INC.Broker
March 1989 - September 1993 · 4 yrs 6 mos
Thomas James Associates, INC.Broker
January 1989 - March 1989 · 2 mos
Blinder, Robinson & CO., INC.Broker
November 1986 - January 1989 · 2 yrs 2 mos
State Registrations31 states
ALAZCACOCTDEFLGAIDILINKYMAMDMNNCNHNJNMNYOHORPASCTNTXUTVAVTWAWY
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.