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Richard Rosen is a registered investment advisor at Morgan Stanley, based in Paramus, NJ, with 44 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
Mack Center Iv, South 61, Paramus Road, Paramus, NJ, 07652
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Regulatory History (3)
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Customer Dispute
November 2009Settled
Customer Dispute
April 2004Settled
Customer Dispute
December 2002Settled
Other Business Activities
Richard is a board member of the Syracuse Football Letterman Club, involved in event and tailgate party planning. This activity requires minimal time and is not investment-related.
Employment History
Current Registrations
Morgan Stanley
June 2009 - Present · 17 yrs 1 mo
Morgan StanleyBroker
June 2009 - Present · 17 yrs 1 mo
Previous Registrations
Morgan Stanley & CO. Incorporated
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley & CO. IncorporatedBroker
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley
May 2005 - April 2007 · 1 yr 11 mos
Morgan Stanley Dw INC.Broker
May 1981 - April 2007 · 25 yrs 11 mos
State Registrations20 states
CACOCTFLGAILINMAMDMINCNJNMNYOKPASCTXVAWA
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.