Richard Howerton Battle

Employer firm

Morgan Stanley CRD 149777

$1.96T regulatory AUM 416,984 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (investment companies)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2009 → Present
  Morgan Stanley Smith Barney
  Atlanta, GA
• 01/2015 → Present
  Morgan Stanley Private Bank, National Association
  New York, NY

Previous Registrations

• 2007-04-02 → 2009-06-01
  Morgan Stanley & Co. Llc
  Atlanta, GA
• 2003-02-25 → 2007-04-02
  Morgan Stanley Dw Inc.
  Atlanta, GA
  Atlanta, GA

Other Businesses

BATTLE INSURANCE PARTNERSHIP; ATLANTA, GA; FAMILY PARTNERSHIP BEING CREATED TO HOLD LIFE INSURANCE POLICIES; 1 HOUR AFTER BUSINESS; 0 DURING BUSINESS; 04/2014 *486128 - Trust; Investment related: Yes; Atlanta, Georgia; Trust; Trustee/Co-Trustee; 02/2022; During business hours: 1; After business hours: 4; *488122 - Trust; Investment related Yes; Atlanta,Georgia; Trust; Trustee/Co-Trustee; Activity start 03/2022; During business hours: 5; After business hours: 35;

Exams

• S65 Uniform Investment Adviser Law Examination
  1998-09-28
• S63 Uniform Securities Agent State Law Examination
  1998-09-21