Rick A Fossey

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

• 01/1995 → 05/2024
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Bloomington, MN
• 06/2011 → 05/2024
  Bank Of America, N.A.
  Bloomington, MN
• 05/2024 → Present
  Morgan Stanley Smith Barney Llc
  Bloomington, MN
• 08/2024 → Present
  Morgan Stanley Private Bank, N.A
  New York, NY

Previous Registrations

• 1998-09-25 → 2024-05-28
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Bloomington, MN
  Bloomington, MN

Other Businesses

*693344 - Titletown LLC; Investment related: Yes; Lakeville, Minnesota; Rental Property ;Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); 05/2026; During business hours: 0; After business hours: 0; Creating a LLC for rental property - Property Mangement Company will be hired

Exams

• S65 Uniform Investment Adviser Law Examination
  1998-03-19
• S63 Uniform Securities Agent State Law Examination
  1995-05-10

Designations

• Certified Financial Planner

Other Names

• Rick A Fossey
• Rick Alan Fossey