MR
MR
Michael Richard
31 Years of Experience
Providence, RI
2 DisclosuresBroker
Michael Richard is a registered investment advisor at Morgan Stanley, based in Providence, RI, 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
One Financial Plaza, 19th Floor, Providence, RI, 02903
Get directionsHistory
Regulatory History (2)
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Customer Dispute
December 2008Settled
Customer Dispute
September 2004Denied
Employment 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
February 2006 - June 2009 · 3 yrs 4 mos
Citigroup Global Markets INC.
February 2006 - June 2009 · 3 yrs 4 mos
Legg Mason Wood Walker INC
April 1999 - February 2006 · 6 yrs 10 mos
Legg Mason Wood Walker, IncorporatedBroker
May 1998 - February 2006 · 7 yrs 9 mos
Dean Witter Reynolds INC.Broker
June 1994 - May 1998 · 3 yrs 11 mos
State Registrations23 states
ARAZCACTFLGAHIILINLAMAMDMENCNHNVNYPARISCTXVAVT
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.