Frederick James Rickey

Employer firm

Raymond James & Associates, Inc. CRD 705

$501B regulatory AUM 2,231 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 11/2013 → Present
  Morgan Stanley
  Providence, RI
• 01/2015 → Present
  Morgan Stanley Private Bank, National Association
  New York, NY
• 01/2022 → Present
  Raymond James & Associates, Inc.
  Providence, RI

Previous Registrations

• 2013-11-07 → 2022-01-18
  Morgan Stanley
  Providence, RI
• 2007-10-16 → 2013-11-08
  Janney Montgomery Scott Llc
  Warwick, RI
• 2003-07-01 → 2007-10-19
  Wells Fargo Clearing Services, Llc
  Newport, RI
  Newport, RI
• 2001-08-24 → 2003-07-01
  Prudential Equity Group, Llc
  Newport, RI

Other Businesses

Name of Business: Immaculate Conception Parish Address: Garden Hills Drive, Cranston, RI, 02920, United States Activity Type: Non profit Position/Title: Committee Member Investment Related: Yes Start Date: 09/01/2011 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Church Finance Committee Member. Quarterly Meetings to review church financial statements. Advisory capacity only. No investment or financial accounts responsibilities.

Exams

• S65 Uniform Investment Adviser Law Examination
  1991-01-02
• S63 Uniform Securities Agent State Law Examination
  1987-01-16

Other Names

• Frederick James Rickey
• Frederick J Rickey