Richard O. Roever
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 Oliver Roever JR, who also goes by Rich Roever, Richard Oliver Roever, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1992. Richard had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 11, 2011 - January 2, 2018
MORGAN STANLEY
July 11, 2011 - January 2, 2018
MORGAN STANLEY
December 9, 2005 - July 22, 2011
UBS FINANCIAL SERVICES INC.
December 9, 2005 - July 22, 2011
UBS FINANCIAL SERVICES INC.
July 1, 2003 - December 9, 2005
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - December 9, 2005
WELLS FARGO CLEARING SERVICES, LLC
November 27, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
November 27, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
January 16, 1998 - November 28, 2000
MORGAN KEEGAN & COMPANY, LLC
January 2, 1998 - January 20, 1998
DAIN RAUSCHER INCORPORATED
September 29, 1994 - January 2, 1998
RAUSCHER PIERCE REFSNES, INC.
August 17, 1992 - December 14, 1994
G. R. PHELPS & CO., 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
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.
