Richard Horak is a registered investment advisor at Morgan Stanley, based in Chicago, IL, with 31 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
Willis Tower, 233 South Wacker Drive, Suite 8200 Region 5, Chicago, IL, 60606
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Morgan Stanley
April 2021 - Present · 5 yrs 1 mo
Morgan Stanley
April 2021 - Present · 5 yrs 1 mo
Morgan StanleyBroker
April 2021 - Present · 5 yrs 1 mo
Previous Registrations
J.P. Morgan Securities LLCBroker
April 2020 - March 2021 · 11 mos
J.P. Morgan Securities LLC
April 2020 - March 2021 · 11 mos
Morgan Stanley
October 2015 - April 2020 · 4 yrs 6 mos
Morgan StanleyBroker
October 2015 - April 2020 · 4 yrs 6 mos
UBS Financial Services INC.
January 2008 - August 2015 · 7 yrs 7 mos
UBS Financial Services INC.Broker
September 2007 - August 2015 · 7 yrs 11 mos
Kms Financial Services, INC.Broker
April 1997 - September 2004 · 7 yrs 5 mos
Kms Financial Services, INC.Broker
November 1989 - January 1996 · 6 yrs 2 mos
American Express Financial Advisors INC.Broker
August 1989 - October 1989 · 2 mos
Ids Life Insurance CompanyBroker
August 1989 - October 1989 · 2 mos
State Registrations1 state
IL
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.