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Richard Scott Schwamb

Morgan Stanley

Rehoboth Beach, DE

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
DE RA APPROVED 2021-10-03
NY RA APPROVED 2021-06-16
CT RA APPROVED 2021-04-15
TX RA APPROVED_RES 2020-05-18
  • DE RA
    APPROVED
    Since 2021-10-03
  • NY RA
    APPROVED
    Since 2021-06-16
  • CT RA
    APPROVED
    Since 2021-04-15
  • TX RA
    APPROVED_RES
    Since 2020-05-18

Branch Locations

55 Cascade Lane, Rehoboth Beach, DE 19971 • 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
Morgan Stanley Smith Barney Llc Rehoboth Beach DE 03/2015 Present
Morgan Stanley Private Bank, N.A. New York NY 05/2015 Present
  • 03/2015 → Present
    Morgan Stanley Smith Barney Llc
    Rehoboth Beach, DE
  • 05/2015 → Present
    Morgan Stanley Private Bank, N.A.
    New York, NY
Previous Registrations
Other Businesses

1.Government / Municipality / Political, Member, plus participate on their GAC, (Government Affairs Committee) .15 HOURS DURING BUSINESS AND .15 HOURS AFTER BUSINESS

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-05-13
S66 Uniform Combined State Law Examination 1999-07-08
  • S65 Uniform Investment Adviser Law Examination
    2021-05-13
  • S66 Uniform Combined State Law Examination
    1999-07-08
Other Names
  • Richard S Schwamb
  • Rich Schwamb

View on SEC IAPD

Other Firms

BRYN MAWR TRUST ADVISORS, LLC
CHARLES SCHWAB & CO., INC.
J.P. MORGAN SECURITIES LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
STATE FARM INVESTMENT MANAGEMENT CORP.
AMERIPRISE FINANCIAL SERVICES, LLC
MAI CAPITAL ADVISOR
BDFS CAPITAL LLC

Other Investors

SARA L LAWSON
QUIAUNNA ELIZABETH POWELL
JACQUELYN KERRY BLUE
STEVEN ZACHARY DUNN
MARK ERIC ENGBERG
Stephanie P. Brown
Andrew R Brown
Christopher David Argo

Other Offices

BRYN MAWR TRUST ADVISORS, LLC · Rehoboth Beach, DE
CHARLES SCHWAB & CO., INC. · Rehoboth Beach, DE
J.P. MORGAN SECURITIES LLC · Rehoboth Beach, DE
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · REHOBOTH BEACH, DE
STATE FARM INVESTMENT MANAGEMENT CORP. · Rehoboth Beach, DE
AMERIPRISE FINANCIAL SERVICES, LLC · REHOBOTH BEACH, DE
MAI CAPITAL ADVISOR · REHOBOTH BEACH, DE
BDFS CAPITAL LLC · REHOBOTH BEACH, DE

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