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Richard A Daum

Morgan Stanley

Oakland, CA

Oakland, CA

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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2024-04-29
CA RA APPROVED 2009-06-01
  • TX RA
    APPROVED_RES
    Since 2024-04-29
  • CA RA
    APPROVED
    Since 2009-06-01

Branch Locations

1999 Harrison Street Suite 2200, Oakland, CA 94612 • United States

Oakland, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley & Co., Incorporated Oakland CA 04/2007 Present
Morgan Stanley Smith Barney Oakland CA 06/2009 Present
Morgan Stanley Private Bank, National Association New York NY 01/2015 Present
  • 04/2007 → Present
    Morgan Stanley & Co., Incorporated
    Oakland, CA
  • 06/2009 → Present
    Morgan Stanley Smith Barney
    Oakland, CA
  • 01/2015 → Present
    Morgan Stanley Private Bank, National Association
    New York, NY
Previous Registrations
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Oakland, CA
  • 1997-07-08 → 2007-04-02
    Morgan Stanley Dw Inc.
    Berkeley, CA
    Oakland, CA
    Berkeley, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-06-11
S63 Uniform Securities Agent State Law Examination 1999-04-09
  • S65 Uniform Investment Adviser Law Examination
    1999-06-11
  • S63 Uniform Securities Agent State Law Examination
    1999-04-09
Other Names
  • Richard August Daum
  • Richard A Daum Jr

View on SEC IAPD

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STATE FARM INVESTMENT MANAGEMENT CORP.
FM CAPITAL GROUP
FULL SPECTRUM CAPITAL MANAGEMENT COMPANY, LLC
FINANCIAL AVENGERS, INC.

Other Investors

GREGORY BURTON GILBERT
STERLING CARMEN HIRSCH
Mark CHRISTOPHER DeVito
Daire Peter Heneghan
Roscoe Herman Harris
AARON KURT PHILLIPS
WILLIAM STUART MONSTED
Randall w Silvey

Other Offices

INFINITY FINANCIAL SERVICES ADVISORY · OAKLAND, CA
CETERA INVESTMENT ADVISERS LLC · OAKLAND, CA
HOODOO · OAKLAND, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · OAKLAND, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · Oakland, CA
FM CAPITAL GROUP · OAKLAND, CA
FULL SPECTRUM CAPITAL MANAGEMENT COMPANY, LLC · OAKLAND, CA
FINANCIAL AVENGERS, INC. · OAKLAND, CA

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