Richard M Stone

Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2015-12-21
CT	RA	APPROVED	2015-12-18
TX	RA	APPROVED_RES	2015-11-24

FL RA
APPROVED

Since 2015-12-21
CT RA
APPROVED

Since 2015-12-18
TX RA
APPROVED_RES

Since 2015-11-24

Branch Locations

4 Landmark Square 2Nd Floor, Stamford, CT 06901 • United States

Jupiter, FL • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Morgan Stanley Smith Barney Llc	Stamford	CT	11/2015	Present
Morgan Stanley Private Bank, National Association	New York	NY	01/2016	Present

11/2015 → Present

Morgan Stanley Smith Barney Llc

Stamford, CT
01/2016 → Present

Morgan Stanley Private Bank, National Association

New York, NY

Previous Registrations

2006-05-25 → 2015-11-30

Ubs Financial Services Inc.

Stamford, CT

Stamford, CT

Stamford, CT

Palm Beach Gardens, FL

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2006-05-24
S63	Uniform Securities Agent State Law Examination	2001-01-08

S66 Uniform Combined State Law Examination

2006-05-24
S63 Uniform Securities Agent State Law Examination

2001-01-08

Other Names

Richard Stone
Richard M. Stone Jr
Richard M Stone
Richard M Stone Jr.

View on SEC IAPD