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Kenneth L Riche

Morgan Stanley

Baton Rouge, LA

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-04-23
LA RA APPROVED 2010-11-12
  • TX RA
    APPROVED_RES
    Since 2020-04-23
  • LA RA
    APPROVED
    Since 2010-11-12

Branch Locations

400 Convention Street Suite 400, Baton Rouge, LA 70802 • 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
Citigroup Global Markets Inc. Baton Rouge LA 04/2006 Present
Morgan Stanley Smith Barney Baton Rouge LA 06/2009 Present
Morgan Stanley Private Bank, National Association New York NY 01/2015 Present
  • 04/2006 → Present
    Citigroup Global Markets Inc.
    Baton Rouge, LA
  • 06/2009 → Present
    Morgan Stanley Smith Barney
    Baton Rouge, LA
  • 01/2015 → Present
    Morgan Stanley Private Bank, National Association
    New York, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-05-15
S63 Uniform Securities Agent State Law Examination 1995-05-18
  • S65 Uniform Investment Adviser Law Examination
    2006-05-15
  • S63 Uniform Securities Agent State Law Examination
    1995-05-18
Other Names
  • Kenneth Lee Riche
  • Kenneth Lee Riche
  • Kenneth Lee Riche Jr
  • Kenneth Lee Riche
  • Kenneth L Riche Jr.

View on SEC IAPD

Other Firms

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RAYMOND JAMES & ASSOCIATES, INC.
CETERA INVESTMENT ADVISERS LLC
BERNHARD CAPITAL PARTNERS MANAGEMENT, LP
J.P. MORGAN SECURITIES LLC
3RD STREET CAPITAL MANAGEMENT L.L.C.
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
STATE FARM INVESTMENT MANAGEMENT CORP.

Other Investors

RYAN MATTHEW MALONE
Andrew K Scholl
DANIELLE T CREPPEL
Thomas S Piland
BRIAN M SARTIN
Michael T Fels
Paul B Langston
TERENCE E GINN

Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · BATON ROUGE, LA
RAYMOND JAMES & ASSOCIATES, INC. · BATON ROUGE, LA
CETERA INVESTMENT ADVISERS LLC · BATON ROUGE, LA
RAYMOND JAMES & ASSOCIATES, INC. · BATON ROUGE, LA
BERNHARD CAPITAL PARTNERS MANAGEMENT, LP · BATON ROUGE, LA
J.P. MORGAN SECURITIES LLC · Baton Rouge, LA
J.P. MORGAN SECURITIES LLC · BATON ROUGE, LA
3RD STREET CAPITAL MANAGEMENT L.L.C. · BATON ROUGE, LA

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