Richard A. Ullman
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard Allen Ullman was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1989. Richard had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 31, Series 7, Series 9, Series 10, Series 4, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 17, 2015 - May 18, 2022
MORGAN STANLEY
August 17, 2015 - May 18, 2022
MORGAN STANLEY
May 16, 2014 - August 11, 2015
UBS FINANCIAL SERVICES INC.
May 15, 2014 - August 11, 2015
UBS FINANCIAL SERVICES INC.
May 11, 2010 - May 7, 2014
MORGAN STANLEY
May 11, 2010 - May 7, 2014
MORGAN STANLEY
March 18, 2009 - March 16, 2010
PRUCO SECURITIES, LLC.
September 15, 2008 - January 27, 2009
EDWARD JONES
September 15, 2008 - January 27, 2009
EDWARD JONES
October 12, 2006 - September 12, 2008
LWI FINANCIAL INC.
October 12, 2006 - September 12, 2008
LORING WARD SECURITIES INC.
June 27, 2000 - October 2, 2006
WELLS FARGO CLEARING SERVICES, LLC
June 16, 2000 - October 2, 2006
WELLS FARGO CLEARING SERVICES, LLC
April 20, 1999 - May 17, 2000
AMERICAN CENTURY BROKERAGE, INC.
June 30, 1995 - April 6, 1999
WELLS FARGO CLEARING SERVICES, LLC
January 28, 1995 - June 15, 1995
UBS FINANCIAL SERVICES INC.
March 2, 1994 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
February 11, 1991 - March 14, 1994
WELLS FARGO CLEARING SERVICES, LLC
March 26, 1990 - February 7, 1991
SUTRO & CO. INCORPORATED
March 21, 1989 - March 19, 1990
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 5/26/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| CROWE, JOHN WILLIAM | CHIEF FINANCIAL OFFICER | 5475007 |
| FINN, JED | DIRECTOR, CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 5658048 |
| FLETCHER, PATRICIA KAY | TEXAS DESIGNATED PRINCIPAL | 1202060 |
| GALASSO, DAVID ANTHONY | PRINCIPAL OPERATIONS OFFICER | 1926502 |
| GIVENS, WILLIAM BENJAMIN | CHIEF COMPLIANCE OFFICER (BD ONLY) | 2790454 |
| HANSEN, TIMOTHY GERARD | CHIEF COMPLIANCE OFFICER (IA ONLY ) | 4956475 |
| HENNESSY, MICHAEL S | DIRECTOR | 1988660 |
| JANOVER, JAMES TROY | DIRECTOR | 2818307 |
| TURNER, CHAD EDWARD | DIRECTOR | 6009808 |
Regulatory assets under management
| Total Number of Accounts | 2,539,760 |
| AUM (Assets Under Management) | $ 1,650,015,946,338 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 115 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2025 | ||
| 07/23/2024 | ||
| 08/24/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
