Coleman Frederick Richards

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Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2020-04-15
AL	RA	APPROVED	2019-08-23

TX RA
APPROVED_RES

Since 2020-04-15
AL RA
APPROVED

Since 2019-08-23

Branch Locations

740 Shades Creek Parkway, Birmingham, AL 35209 • 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

Organization	City	State	From	To
Bbva Securities Inc.	Birmingham	AL	09/2014	08/2019
Compass Bank	Birmingham	AL	09/2014	08/2019
Bbva Compass Insurance Agency, Inc.	Austin	TX	12/2014	08/2019
Bbva Wealth Solutions Inc.	Birmingham	AL	04/2017	08/2019
Morgan Stanley	Birmingham	AL	08/2019	Present
Morgan Stanley Private Bank, N.A.	New York	NY	09/2019	Present

09/2014 → 08/2019

Bbva Securities Inc.

Birmingham, AL
09/2014 → 08/2019

Compass Bank

Birmingham, AL
12/2014 → 08/2019

Bbva Compass Insurance Agency, Inc.

Austin, TX
04/2017 → 08/2019

Bbva Wealth Solutions Inc.

Birmingham, AL
08/2019 → Present

Morgan Stanley

Birmingham, AL
09/2019 → Present

Morgan Stanley Private Bank, N.A.

New York, NY

Previous Registrations

2017-04-27 → 2019-08-23

Pnc Managed Account Solutions, Inc.

Birmingham, AL

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2017-04-26
S63	Uniform Securities Agent State Law Examination	2014-08-26

S65 Uniform Investment Adviser Law Examination

2017-04-26
S63 Uniform Securities Agent State Law Examination

2014-08-26

View on SEC IAPD

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