Richard A. Desimone
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 Alan Desimone, who also goes by Richard Alan De Simone Jr, Richard Alan De Simone, Richard Alan Desimone Jr, Richard Alan Desimone, Rick Allan Desimone, Richard Desimone, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2007. Richard had worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 30, 2018 - October 18, 2019
MORGAN STANLEY
April 30, 2018 - October 18, 2019
MORGAN STANLEY
May 10, 2017 - April 19, 2018
MML INVESTORS SERVICES, LLC
May 4, 2017 - April 19, 2018
MML INVESTORS SERVICES, LLC
October 5, 2015 - May 12, 2017
J.P. MORGAN SECURITIES LLC
October 1, 2015 - May 12, 2017
J.P. MORGAN SECURITIES LLC
June 3, 2015 - August 31, 2015
ALLSTATE FINANCIAL ADVISORS, LLC
May 28, 2015 - August 31, 2015
ALLSTATE FINANCIAL SERVICES, LLC
May 30, 2012 - April 16, 2015
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
May 25, 2012 - April 16, 2015
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
November 23, 2010 - April 18, 2012
CHASE INVESTMENT SERVICES CORP.
November 16, 2010 - April 18, 2012
CHASE INVESTMENT SERVICES CORP.
November 12, 2009 - November 17, 2010
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
December 4, 2008 - November 17, 2010
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
July 23, 2007 - July 14, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
June 29, 2007 - July 14, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
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.
