RG
RG
Richard Goldman is a registered investment advisor at Morgan Stanley, based in Elmira, 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
100 West Church Street, Elmira, NY, 14901
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Regulatory History (4)
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
July 2001Settled
Employment Separation After Allegations
August 1997Customer Dispute
January 1997Settled
Customer Dispute
November 1995Settled
Other Business Activities
Richard is a town board member for the Town of Ulysses, spends minimal time on rental property he owns, and is a board member of Three Falls Local Development Corporation. He spends about 10-20% of his time as a town board member.
Employment History
Current Registrations
Morgan Stanley
December 2009 - Present · 16 yrs 5 mos
Morgan StanleyBroker
June 2009 - Present · 16 yrs 11 mos
Previous Registrations
Morgan Stanley & CO. IncorporatedBroker
February 2009 - June 2009 · 4 mos
Wachovia Securities, LLC
October 2003 - March 2009 · 5 yrs 5 mos
Wachovia Securities, LLCBroker
August 2000 - March 2009 · 8 yrs 7 mos
First Albany CorporationBroker
October 1997 - August 2000 · 2 yrs 10 mos
A. G. Edwards & Sons, INC.Broker
January 1990 - August 1997 · 7 yrs 7 mos
Shearson Lehman Hutton INC.Broker
May 1988 - February 1990 · 1 yr 9 mos
State Registrations36 states
AZCACOCTDCDEFLGAHIIAILKYLAMAMDMEMIMNMOMTNCNJNMNYOHORPAPRRISCTXUTVAVTWAWI
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.