Richard Thomas Battle

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

• 06/2009 → Present
  Morgan Stanley Smith Barney
  Atlanta, GA
• 01/2015 → Present
  Morgan Stanley Private Bank, National Association
  New York, NY

Previous Registrations

• 2007-04-02 → 2009-06-01
  Morgan Stanley & Co. Llc
  Atlanta, GA
• 2003-11-04 → 2007-04-02
  Morgan Stanley Dw Inc.
  Atlanta, GA
  Atlanta, GA

Other Businesses

1.TAURUS, LLC 2. BATTLE FAMILY FOUNDATION INC., PARTNER/OWNER 4. *448324- Estate; Investment related Yes; Wainscott, New York; Estate; Executor/Co-Executor; 02/2019; During business hours: 0; After business hours: 0; *485957 - Trust; Investment related: Yes; Atlanta, Georgia; Trust; Trustee/Co-Trustee; 02/2022; During business hours: 1; After business hours: 4; *484688 - Trust; Investment related - Yes; charleston, South Carolina; 02/2022; During business hours: 4; After business hours: 0

Exams

• S65 Uniform Investment Adviser Law Examination
  2003-10-23
• S63 Uniform Securities Agent State Law Examination
  2003-07-25

Other Names

• Richard Thomas Battle