Richard Stephen Marcatos

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:

Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2022-05-10
FL	RA	APPROVED	2022-05-09

TX RA
APPROVED_RES

Since 2022-05-10
FL RA
APPROVED

Since 2022-05-09

Branch Locations

4890 West Kennedy Boulevard Suite 700, Tampa, FL 33609 • 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

Organization	City	State	From	To
Ubs Financial Services Inc.	Clearwater	FL	11/2013	05/2022
Morgan Stanley Smith Barney Llc	Tampa	FL	05/2022	Present
Morgan Stanley Private Bank, N.A	New York	NY	06/2022	Present

11/2013 → 05/2022

Ubs Financial Services Inc.

Clearwater, FL
05/2022 → Present

Morgan Stanley Smith Barney Llc

Tampa, FL
06/2022 → Present

Morgan Stanley Private Bank, N.A

New York, NY

Previous Registrations

2000-09-01 → 2022-05-17

Ubs Financial Services Inc.

Tampa, FL

Tampa, FL

Clearwater, FL

Other Businesses

1) Cortilova LLC / United States / 407 S Duncan Ave. Clearwater, FL 33755 / LLC Partnership / Real Estate / Holding co for commercial property. Exclusively used for personal storage space. / Management of commercial property for personal use / Investment in Company?: YES; 50% / Start Date 3/9/2020 2)*504492 - Rickid Holdings; Investment related Yes; Clearwater Beach, Florida; Restaurant/Bar/Nightclub; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); 03/2020 ; During business hours: 0; After business hours: 0; Passive Investor.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1995-12-15
S63	Uniform Securities Agent State Law Examination	1995-11-27

S65 Uniform Investment Adviser Law Examination

1995-12-15
S63 Uniform Securities Agent State Law Examination

1995-11-27

Designations

Certified Financial Planner

Other Names

Rick Marcatos

View on SEC IAPD