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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Griffiths is a financial advisor registered with Morgan Stanley and has been in the industry since 1995. Richard has a strong background in financial services, having worked previously with Morgan Stanley & Co. Incorporated. He holds a variety of licenses and certifications, including Series 7, Series 3, Series 63, and Series 65. Richard's specializations include Asset Allocation Advice, Financial Planning, Pension Consulting, Educational Seminars, and Selection of Other Advisers.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation advice
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
NY
05/18/2011 - Present
Morgan Stanley (New York NY)
NY
05/05/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (NEW YORK NY)
NY
01/20/1995 - 08/10/2007
MORGAN STANLEY & CO., INCORPORATED (PURCHASE NY)
IA
Issued 06/09/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/06/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/27/1996
Series 3 - National Commodity Futures Examination
BC
Issued 12/19/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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