RG
RG
Richard Glomb is a registered investment advisor at Morgan Stanley, based in Oak Brook, IL, with 35 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
Loading...
Location
2211 York Road, Suite 100, Oak Brook, IL, 60523
Get directionsHistory
Regulatory History (3)
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
August 1999Denied
Regulatory
November 1992Final
Employment Separation After Allegations
October 1991Employment History
Current Registrations
Morgan StanleyBroker
June 2009 - Present · 16 yrs 11 mos
Morgan Stanley
June 2009 - Present · 16 yrs 11 mos
Previous Registrations
Citigroup Global Markets INC.Broker
May 2009 - June 2009 · 1 mo
Citigroup Global Markets INC.
May 2009 - June 2009 · 1 mo
Wells Fargo Advisors, LLC
November 2002 - May 2009 · 6 yrs 6 mos
Wachovia Securities, LLCBroker
May 1998 - May 2009 · 11 yrs
Principal Financial Securities,inc.Broker
September 1994 - May 1998 · 3 yrs 8 mos
Hamilton Investments, INC.Broker
January 1992 - September 1994 · 2 yrs 8 mos
Prudential Securities IncorporatedBroker
May 1990 - November 1991 · 1 yr 6 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
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.