Richard Newman is a registered investment advisor at Morgan Stanley, based in Newport Beach, CA, with 43 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
800 Newport Center Drive, Suite 500, Newport Beach, CA, 92660
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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
June 2009 - Present · 17 yrs 1 mo
Morgan Stanley
June 2009 - Present · 17 yrs 1 mo
Morgan StanleyBroker
June 2009 - Present · 17 yrs 1 mo
Previous Registrations
Citigroup Global Markets INC.
December 2004 - June 2009 · 4 yrs 6 mos
Citigroup Global Markets INC.Broker
May 2000 - June 2009 · 9 yrs 1 mo
Prudential Securities IncorporatedBroker
March 1996 - April 2000 · 4 yrs 1 mo
Oppenheimer & CO., INC.Broker
December 1992 - May 1996 · 3 yrs 5 mos
Pruco Securities CorporationBroker
March 1991 - March 1994 · 3 yrs
Hagar Securities CorporationBroker
June 1990 - January 1991 · 7 mos
Manequity, INC.Broker
April 1990 - July 1990 · 3 mos
New England Securities CorporationBroker
August 1986 - October 1988 · 2 yrs 2 mos
Nel Equity Services CorporationBroker
November 1980 - December 1985 · 5 yrs 1 mo
State Registrations21 states
AZCACOFLHIIDINKSMAMONDNMNVNYOKORSCTXVAWAWY
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.