Rose-anne N Richter
Professional Summary
Rose-anne N Richter, who also goes by Rose Ann Nancy Richter, Rose-anne Nancy Richter, Rose-anne Richter, Roseanne Nancy Richter, is a registered financial advisor currently at MORGAN STANLEY located in Purchase, New York and MORGAN STANLEY & CO. LLC located in New York, New York. Rose-anne is registered as a RR (Registered Representative) and started their career in finance in 1994. Rose-anne has worked at 6 firms and has passed the Series 72, Series 57TO,...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Rose Ann Nancy Richter, Rose-Anne Nancy Richter, Rose-Anne Richter, Roseanne Nancy Richter
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
32 years in the financial services industry
Current & Past Employments
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Current Firm
MORGAN STANLEY | MORGAN STANLEY DEAN WITTER | MORGAN STANLEY & CO., INCORPORATED | MORGAN STANLEY & CO. LLC | MORGAN STANLEY & CO. INCORPORATED
Contact Information
Main Address
1585 Broadway, New York, NY 10036-8293Mailing Address
1300 Thames Street C/o Shared Services Compliance - Registration, Baltimore, MD 21231Phone Number
(212) 761-4000Established
Delaware since 12/03/1969Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
LargeFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | — |
| BERKE, MATTHEW EVAN | CHAIRMAN, PRESIDENT, CHIEF EXECUTIVE OFFICER, AND DIRECTOR | 2524594 |
| BHAIMIA, ISMAIL OMAR | DIRECTOR | 6264162 |
| DAMAST, EVAN SCOTT | DIRECTOR | 3198635 |
| HENNESSEY, JACQUELINE A | TEXAS DESIGNATED PRINCIPAL | 2194034 |
| KRAUSE, GARD J | CHIEF COMPLIANCE OFFICER | 2284628 |
| LYNN, GARY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 2162411 |
| MACEJKA, PATRICK NMN | DIRECTOR | 2139145 |
| MORANO, DAVID | PRINCIPAL OPERATIONS OFFICER | 2189287 |
| STERN, MICHAEL A | DIRECTOR | 4939073 |
Disclosures
Regulatory Event
493Civil Event
5Arbitration
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 72 — Government Securities Representative Examination
Passed Jan 2023Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Rose-anne N Richter's CRS (Customer Relationship Summary).
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