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Richard John Sepulveda

Morgan Stanley

Paramus, NJ

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-12-17
NJ RA APPROVED 2009-06-01
  • TX RA
    APPROVED_RES
    Since 2020-12-17
  • NJ RA
    APPROVED
    Since 2009-06-01

Branch Locations

61 South Paramus Road 3Rd Floor, Paramus, NJ 07652 • 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 Paramus NJ 06/2009 Present
Morgan Stanley Private Bank, National Association New York NY 01/2015 Present
  • 06/2009 → Present
    Morgan Stanley Smith Barney
    Paramus, NJ
  • 01/2015 → Present
    Morgan Stanley Private Bank, National Association
    New York, NY
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-11-29
S63 Uniform Securities Agent State Law Examination 1992-06-26
  • S65 Uniform Investment Adviser Law Examination
    2006-11-29
  • S63 Uniform Securities Agent State Law Examination
    1992-06-26

View on SEC IAPD

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