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Richard Frank

Morgan Stanley

New York, NY

CRD 6245121

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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

AuthorityCategoryStatusDate
NY RA APPROVED 2021-06-16
TX RA APPROVED_RES 2020-04-08
CT RA APPROVED 2018-02-19
  • NY RA
    APPROVED
    Since 2021-06-16
  • TX RA
    APPROVED_RES
    Since 2020-04-08
  • CT RA
    APPROVED
    Since 2018-02-19

Branch Locations

55 East 52Nd Street 10Th Floor, New York, NY 10055 • 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
Cantor Fitzgerald & Co. New York NY 05/2014 12/2017
Morgan Stanley New York NY 01/2018 Present
Morgan Stanley Private Bank, N.A. New York NY 08/2019 Present
  • 05/2014 → 12/2017
    Cantor Fitzgerald & Co.
    New York, NY
  • 01/2018 → Present
    Morgan Stanley
    New York, NY
  • 08/2019 → Present
    Morgan Stanley Private Bank, N.A.
    New York, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-02-19
S63 Uniform Securities Agent State Law Examination 2016-08-21
  • S65 Uniform Investment Adviser Law Examination
    2018-02-19
  • S63 Uniform Securities Agent State Law Examination
    2016-08-21

View on SEC IAPD

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