Heidi A. Richardson

Some features on this profile are disabled

CRD#: 2407314

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.

Question & Answer

What are your service offerings?

Philanthropic services

Financial planning

Trust & estate planning

What is your current number of clients?

Under 50

What is your minimum asset requirement?

25M

Are you a "fiduciary"?

Aliases

Heidi Doyon | Heidi Richardson | Heidi Ann Richardson

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.

*392909 - Washington Park Arboretum; Investment related - No; Seattle, Washington; Agricultural/Horticultural, Education, Environmental; Investment Committee (proprietor, partner, officer, director, employee, trustee, agent); May 2017; During business hours: 0; After business hours: 1; Investment Decisions/Advice. *392907 - Oceanites; Investment related - No; Washington, District of Columbia; Environmental; Board Member (proprietor, partner, officer, director, employee, trustee, agent); May 2017; During business hours: 0; After business hours: 1; Bring awareness to climate change. *466187- SeekHaven; Investment related No; Novato, California; Hospital/Healthcare; Advisory Board (proprietor, partner, officer, director, employee, trustee, agent12/2021; During business hours: 0; After business hours: 25;

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

February 7, 2020 - January 4, 2024

MORGAN STANLEY

RIA

CRD#: 149777

Walnut Creek, CA

Past

February 7, 2020 - January 4, 2024

MORGAN STANLEY

CRD#: 149777

Walnut Creek, CA

Past

September 20, 2017 - February 20, 2020

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

Seattle, WA

Past

September 20, 2017 - February 20, 2020

J.P. MORGAN SECURITIES LLC

CRD#: 79

Seattle, WA

Past

February 17, 2016 - May 11, 2017

BLACKROCK INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 108928

Seattle, WA

Past

January 3, 2012 - May 11, 2017

BLACKROCK INVESTMENTS, LLC

CRD#: 38642

SEATTLE, WA

Past

September 27, 2010 - May 11, 2017

BLACKROCK FUND ADVISORS

RIA

CRD#: 105247

SAN FRANCISCO, CA

Past

September 27, 2010 - December 31, 2011

BLACKROCK FUND DISTRIBUTION COMPANY

CRD#: 146183

SAN FRANCISCO, CA

Past

August 12, 2005 - August 26, 2010

ALLIANCEBERNSTEIN INVESTMENTS, INC.

CRD#: 14549

NASHVILLE, TN

Past

March 9, 2005 - August 26, 2010

ALLIANCEBERNSTEIN L.P.

RIA

CRD#: 108477

NEW YORK, NY

Past

March 9, 2005 - August 3, 2005

SANFORD C. BERNSTEIN & CO., LLC

CRD#: 104474

NASHVILLE, TN

Past

March 5, 2004 - January 4, 2005

MARSICO CAPITAL MANAGEMENT, LLC

RIA

CRD#: 109250

DENVER, CO

Past

August 14, 2003 - October 7, 2003

BACAP DISTRIBUTORS, LLC

CRD#: 46088

CHARLOTTE, NC

Past

September 3, 2002 - July 10, 2003

GOLDMAN SACHS & CO. LLC

RIA

CRD#: 361

CHICAGO, IL

Past

June 11, 1997 - July 10, 2003

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

October 3, 1995 - June 4, 1997

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

CRD#: 21570

SHELTON, CT

Past

November 22, 1993 - July 25, 1995

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MORGAN STANLEY

CRD#: 149777 / SEC#: 801-70103, 8-68191

RIA

Registered Investment Advisory firm - SEC (5/11/2009 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/22/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/26/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/18/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/21/2015

General Securities Principal Examination

Current Firm

MORGAN STANLEY

CRD#: 149777 / SEC#: 801-70103, 8-68191

RIA

Registered Investment Advisory firm - SEC (5/11/2009 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

2000 Westchester Avenue, Purchase, NY 10577-2530

Mailing Address

1300 Thames Street C/o Shared Services Compliance - Registration, Baltimore, MD 21231

Phone number

(914) 225-1000

Established

Delaware since 02/02/2009

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

29,200

SEC notice filing (51 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PRIVATE WEALTH MANAGEMENT CONSULTING SERVICES PROGRAM BROCHURE (11/6/2025)

PORTFOLIO MANAGEMENT AND INSTITUTIONAL CASH ADVISORY PROGRAM BROCHURE (10/24/2025)

SELECT UMA PROGRAM BROCHURE (10/24/2025)

FINANCIAL PLANNING SERVICES PROGRAM BROCHURE (10/22/2025)

CONSULTING GROUP ADVISOR PROGRAM BROCHURE (10/17/2025)

SEPARATE MANAGED ACCOUNT WRAP PROGRAM BROCHURE (10/17/2025)

SEPARATE MANAGED ACCOUNT COMMISSION-BASED PROGRAM BROCHURE (10/17/2025)

INSTITUTIONAL SERVICES PROGRAM BROCHURE (3/28/2025)

MORGAN STANLEY CORE PORTFOLIOS (3/28/2025)

ALTERNATIVE INVESTMENTS WRAP PROGRAM BROCHURE (3/28/2025)

ACCESS INVESTING PROGRAM BROCHURE (3/28/2025)

OUTSOURCED CHIEF INVESTMENT OFFICE (OCIO) (3/28/2025)

GRAYSTONE CONSULTING PROGRAM BROCHURE (3/28/2025)

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	Cover Page	Report
07/23/2024	Cover Page	Report
08/24/2023	Cover Page	Report

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Heidi A. Richardson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MORGAN STANLEY

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

BLACKROCK INVESTMENT MANAGEMENT, LLC

BLACKROCK INVESTMENTS, LLC

BLACKROCK FUND ADVISORS

BLACKROCK FUND DISTRIBUTION COMPANY

ALLIANCEBERNSTEIN INVESTMENTS, INC.

ALLIANCEBERNSTEIN L.P.

SANFORD C. BERNSTEIN & CO., LLC

MARSICO CAPITAL MANAGEMENT, LLC

BACAP DISTRIBUTORS, LLC

GOLDMAN SACHS & CO. LLC

GOLDMAN SACHS & CO. LLC

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

MORGAN STANLEY

State Registrations and Notice Filings

Exams

Series 66

Date: 7/22/2002

Series 63

Date: 7/26/1994

SIE

Date: 10/1/2018

Series 7

Date: 11/18/1993

Series 24

Date: 5/21/2015

Current Firm

MORGAN STANLEY

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

MORGAN STANLEY

TRUST BUT VERIFY

Contact information

Similar Advisors