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Carol Richards is a registered investment advisor at Morgan Stanley, based in New York, NY, with 37 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
55 East 52nd Street, 7th Floor, New York, NY, 10055
Get directionsHistory
Regulatory History (1)
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Customer Dispute
February 2007Denied
Employment History
Current Registrations
Morgan Stanley
June 2009 - Present · 16 yrs 11 mos
Morgan StanleyBroker
June 2009 - Present · 16 yrs 11 mos
Previous Registrations
Citigroup Global Markets INC.
October 2000 - June 2009 · 8 yrs 8 mos
Citigroup Global Markets INC.Broker
July 1993 - June 2009 · 15 yrs 11 mos
Lehman Brothers INC.Broker
May 1991 - July 1993 · 2 yrs 2 mos
Liberty Brokerage INC.Broker
June 1988 - April 1991 · 2 yrs 10 mos
Hilliard Farber & CO., INC.Broker
July 1987 - August 1987 · 1 mo
State Registrations34 states
AZCACOCTDEFLGAIAILKSLAMAMDMIMONCNHNJNMNVNYOHOKORPARISCSDTXUTVAVTWAWI
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.