Heidi A. Richardson
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.
Heidi Ann Richardson, who also goes by Heidi Doyon, Heidi Richardson, Heidi Ann Richardson, was a registered financial professional .
Heidi is a previously registered financial professional and started their career in finance in 1993. Heidi had worked at 14 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
At a Glance
Services Offered
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 7, 2020 - January 4, 2024
MORGAN STANLEY
February 7, 2020 - January 4, 2024
MORGAN STANLEY
September 20, 2017 - February 20, 2020
J.P. MORGAN SECURITIES LLC
September 20, 2017 - February 20, 2020
J.P. MORGAN SECURITIES LLC
February 17, 2016 - May 11, 2017
BLACKROCK INVESTMENT MANAGEMENT, LLC
January 3, 2012 - May 11, 2017
BLACKROCK INVESTMENTS, LLC
September 27, 2010 - May 11, 2017
BLACKROCK FUND ADVISORS
September 27, 2010 - December 31, 2011
BLACKROCK FUND DISTRIBUTION COMPANY
August 12, 2005 - August 26, 2010
ALLIANCEBERNSTEIN INVESTMENTS, INC.
March 9, 2005 - August 26, 2010
ALLIANCEBERNSTEIN L.P.
March 9, 2005 - August 3, 2005
SANFORD C. BERNSTEIN & CO., LLC
March 5, 2004 - January 4, 2005
MARSICO CAPITAL MANAGEMENT, LLC
August 14, 2003 - October 7, 2003
BACAP DISTRIBUTORS, LLC
September 3, 2002 - July 10, 2003
GOLDMAN SACHS & CO. LLC
June 11, 1997 - July 10, 2003
GOLDMAN SACHS & CO. LLC
October 3, 1995 - June 4, 1997
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
November 22, 1993 - July 25, 1995
SIGNATOR INVESTORS, 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
What does exam status mean?
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 | 2,703,720 |
| AUM (Assets Under Management) | $ 1,961,887,313,229 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 118 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/11/2026 | ||
| 08/20/2025 | ||
| 07/23/2024 |
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.
Company Information
MORGAN STANLEY
Institutional Consulting DirectorCRD#: 149777TRUST BUT VERIFY
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