Richard Roland Fulton

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

• 05/2009 → 11/2016
  Wells Fargo Advisors Llc
  Palo Alto, CA
• 11/2016 → 10/2020
  Wells Fargo Clearing Services, Llc
  Palo Alto, CA
• 10/2020 → Present
  Morgan Stanley Smith Barney Llc
  Palo Alto, CA
• 12/2020 → Present
  Morgan Stanley Private Bank, N.A
  New York, NY

Previous Registrations

• 2009-01-16 → 2020-11-04
  Wells Fargo Clearing Services, Llc
  Palo Alto, CA
• 2001-11-30 → 2009-01-20
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Menlo Park, CA
  Akron, OH
  San Mateo, CA
  Akron, OH
  Palo Alto, CA

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-07-12
• S63 Uniform Securities Agent State Law Examination
  1999-04-30

Other Names

• Richard Rolando Fulton
• Rick Fulton