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Richard Lee Gum

Morgan Stanley

Perrysburg, OH

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2016-06-13
OH RA APPROVED 2016-06-08
  • TX RA
    APPROVED_RES
    Since 2016-06-13
  • OH RA
    APPROVED
    Since 2016-06-08

Branch Locations

6250 Levis Common Blvd, Perrysburg, OH 43551 • 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
OrganizationCityStateFromTo
Morgan Stanley Smith Barney Llc Perrysburg OH 06/2016 Present
Morgan Stanley Private Bank, N.A. New York NY 06/2016 Present
  • 06/2016 → Present
    Morgan Stanley Smith Barney Llc
    Perrysburg, OH
  • 06/2016 → Present
    Morgan Stanley Private Bank, N.A.
    New York, NY
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-06-16
S63 Uniform Securities Agent State Law Examination 1991-11-27
  • S65 Uniform Investment Adviser Law Examination
    1995-06-16
  • S63 Uniform Securities Agent State Law Examination
    1991-11-27
Other Names
  • Ric Gum
  • Richard Lee Gum
  • Ric Gum

View on SEC IAPD

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