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James Steven Richman

Morgan Stanley

Charleston, SC

Washington, DC

Atlanta, GA

Mount Pleasant, SC

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
DC RA APPROVED 2022-02-10
PA RA APPROVED 2021-10-21
TX RA APPROVED_RES 2020-02-05
SC RA APPROVED 2012-05-07
  • DC RA
    APPROVED
    Since 2022-02-10
  • PA RA
    APPROVED
    Since 2021-10-21
  • TX RA
    APPROVED_RES
    Since 2020-02-05
  • SC RA
    APPROVED
    Since 2012-05-07

Branch Locations

850 Morrison Drive Suite 800, Charleston, SC 29403 • United States

1775 I Street Nw -Suite 400 Mid-Atlantic Region 6, Washington, DC 20006 • United States

3280 Peachtree Road Nw, Ste 1700 Southeast - Region 4, Atlanta, GA 30305 • United States

Mount Pleasant, SC • 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 Smith Barney Charleston SC 06/2009 Present
  • 06/2009 → Present
    Morgan Stanley Smith Barney
    Charleston, SC
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-05-05
S63 Uniform Securities Agent State Law Examination 2007-07-20
  • S65 Uniform Investment Adviser Law Examination
    2012-05-05
  • S63 Uniform Securities Agent State Law Examination
    2007-07-20

View on SEC IAPD

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