Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Martin Brown is a financial advisor with over 30 years of experience in the industry. Richard is currently registered with Morgan Stanley in Garden City, NY. Prior to that, Richard was with Morgan Stanley & Co. Incorporated and Morgan Stanley DW Inc. Richard also worked at Citigroup Global Markets Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Richard holds Series 3, 7, 63, 66 and SIE licenses and has worked with a variety of clients including individuals, high-net-worth individuals, corporations, insurance companies, investment companies, charitable organizations, pension and profit-sharing plans, and state or municipal government entities.
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
11/01/2018 - Present
Morgan Stanley (Garden City NY)
NY
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (GARDEN CITY NY)
NY
10/08/2004 - 04/02/2007
MORGAN STANLEY DW INC. (GARDEN CITY NY)
NY
08/18/1993 - 10/22/2004
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
04/03/1990 - 08/26/1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NA
02/07/1990 - 03/31/1990
FAITOS & COMPANY, INC.
NA
06/21/1988 - 02/13/1990
J. T. MORAN & CO., INC.
BOTH
Issued 02/24/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/08/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/13/1995
Series 3 - National Commodity Futures Examination
BC
Issued 06/18/1988
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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