Richard Duffy is a registered investment advisor at Morgan Stanley, based in Los Angeles, CA, 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
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Location
1999 Avenue of the Stars, Suite 2400, Los Angeles, CA, 90067
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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
October 2024 - Present · 1 yr 7 mos
Morgan StanleyBroker
October 2024 - Present · 1 yr 7 mos
Previous Registrations
Morgan Stanley & CO. LLCBroker
March 2019 - October 2024 · 5 yrs 7 mos
Morgan Stanley & CO. LLCBroker
November 2016 - May 2017 · 6 mos
Morgan StanleyBroker
June 2014 - March 2019 · 4 yrs 9 mos
Morgan Stanley
June 2014 - March 2019 · 4 yrs 9 mos
J.P. Morgan Securities LLC
March 2008 - July 2014 · 6 yrs 4 mos
J.P. Morgan Securities LLCBroker
May 1991 - July 2014 · 23 yrs 2 mos
Jesup, Josephthal Securities CO., INC.Broker
October 1990 - March 1991 · 5 mos
Bear, Stearns & CO. INC.Broker
May 1990 - September 1990 · 4 mos
State Registrations34 states
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AdvisorBrokerBoth
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Exams
No exam information available for this advisor.