Richard Rodger Rodd
Professional Summary
Richard Rodger Rodd, who also goes by Richard Rodger Rodd Jr, Richard Rodd, was a registered financial advisor. Richard was a previously registered financial professional and started their career in finance 2017 - 2026. Richard had worked at 2 firms and has passed the Series 66, SIE, Series 7, Series 9 and Series 10 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Richard Rodger Rodd Jr, Richard Rodd
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
9 years registered in the securities industry
Current & Past Employments
Past
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Current Firm
CITIGROUP INSTITUTIONAL CONSULTING | SMITH BARNEY | PRIVATE PORTFOLIO GROUP | MORGAN STANLEY WEALTH MANAGEMENT | MORGAN STANLEY SMITH BARNEY LLC | MORGAN STANLEY SMITH BARNEY | MORGAN STANLEY PRIVATE WEALTH MANAGEMENT | MORGAN STANLEY CONSULTING GROUP | MORGAN STANLEY | GRAYSTONE CONSULTING | E*TRADE FROM MORGAN STANLEY | CONSULTING GROUP
Contact Information
Main Address
2000 Westchester Avenue, Purchase, NY 10577-2530Mailing Address
1300 Thames Street C/o Shared Services Compliance - Registration, Baltimore, MD 21231Phone Number
(914) 225-1000Established
Delaware since 02/02/2009Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Large# of Employees
29,481SEC notice filing (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 51 US 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 |
| LUMIA, VINCENT JOHN | DIRECTOR | 3147533 |
| TURNER, CHAD EDWARD | DIRECTOR | 6009808 |
Regulatory Assets Under Management
Total Number of Accounts
2,703,720AUM (Assets Under Management)
$1,961,887,313,229Disclosures
Regulatory Event
66Arbitration
119Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/11/2026 | Cover Page | Report |
| 08/20/2025 | Cover Page | Report |
| 07/23/2024 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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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Primary Firm SEC Registration
CITIGROUP INSTITUTIONAL CONSULTING | SMITH BARNEY | PRIVATE PORTFOLIO GROUP | MORGAN STANLEY WEALTH MANAGEMENT | MORGAN STANLEY SMITH BARNEY LLC | MORGAN STANLEY SMITH BARNEY | MORGAN STANLEY PRIVATE WEALTH MANAGEMENT | MORGAN STANLEY CONSULTING GROUP | MORGAN STANLEY | GRAYSTONE CONSULTING | E*TRADE FROM MORGAN STANLEY | CONSULTING GROUP
State Registrations and Notice Filings
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 9 — General Securities Sales Supervisor - Options Module Examination
Passed Aug 2022About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Aug 2022About the Series 10 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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