Richard Farrell is a registered investment advisor at Morgan Stanley, based in Scottsdale, AZ, with 12 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
14850 North Scottsdale Road, Suite 600, Scottsdale, AZ, 85254
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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
August 2021 - Present · 4 yrs 9 mos
Morgan StanleyBroker
June 2021 - Present · 4 yrs 11 mos
Previous Registrations
Bofa Securities, INC.Broker
May 2019 - June 2021 · 2 yrs 1 mo
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
September 2017 - May 2019 · 1 yr 8 mos
Deutsche Bank Securities INC.Broker
September 2013 - August 2017 · 3 yrs 11 mos
State Registrations40 states
ALARAZCACOCTDCDEFLGAHIIAIDILINKSMAMDMIMNMOMTNCNJNMNVNYOHOKORPARISCTNTXUTVAVTWAWI
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.