RP
RP
Ron Phillips
29 Years of Experience
Walnut Creek, CA
6 DisclosuresBroker
Ron Phillips is a registered investment advisor at Morgan Stanley, based in Walnut Creek, CA, with 29 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
1333 North California Boulevard, Suite 133, Walnut Creek, CA, 94596
Get directionsHistory
Regulatory History (6)
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
April 2022Denied
Customer Dispute
October 2021Settled
Customer Dispute
March 2008Settled
Customer Dispute
November 2003Settled
Customer Dispute
May 2003Denied
Customer Dispute
August 2001Denied
Other Business Activities
Ron is a loanee for Combat Sports Acadamy, a recreation business in Dublin, California, since September 2021. This activity is not investment-related and does not take up any of Ron's time during or after business hours.
Employment History
Current Registrations
Morgan StanleyBroker
June 2009 - Present · 17 yrs 3 mos
Morgan Stanley
June 2009 - Present · 17 yrs 3 mos
Previous Registrations
Morgan Stanley & CO. Incorporated
May 2008 - June 2009 · 1 yr 1 mo
Morgan Stanley & CO. IncorporatedBroker
May 2008 - June 2009 · 1 yr 1 mo
UBS Financial Services INC.Broker
May 2002 - June 2008 · 6 yrs 1 mo
UBS Financial Services INC.
May 2002 - June 2008 · 6 yrs 1 mo
Salomon Smith Barney INC.
July 1997 - June 2002 · 4 yrs 11 mos
Salomon Smith Barney INC.Broker
November 1996 - June 2002 · 5 yrs 7 mos
State Registrations43 states
AKALARAZCACOCTDEFLGAHIIDILINKSLAMAMDMEMIMNMTNCNDNENHNJNVNYOHORPARISCTNTXUTVAVTWAWIWVWY
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.