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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 Spencer is a financial advisor with Morgan Stanley. Richard has been in the financial services industry since 1986 and has experience working with a wide range of clients, including individuals, families, businesses, and institutions. Richard is a registered representative of Morgan Stanley and is also registered as an investment advisor in Florida, New York, and Texas. He has a broad range of financial services experience including portfolio management, financial planning, and retirement planning. Richard holds several licenses and designations, including Series 7, 8, 24, 63, and 65. Richard is also a board member of Bishop Kearney High School.
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
FL
01/22/2010 - Present
Morgan Stanley (Naples FL)
NY
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (ROCHESTER NY)
NY
11/09/2000 - 04/02/2007
MORGAN STANLEY DW INC. (ROCHESTER NY)
NY
09/07/1993 - 11/09/2000
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
03/20/1989 - 09/09/1993
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NA
01/09/1989 - 03/28/1989
THOMAS JAMES ASSOCIATES, INC.
NA
11/21/1986 - 01/11/1989
BLINDER, ROBINSON & CO., INC.
IA
Issued 01/10/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/05/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/16/1994
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/06/1988
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/23/1991
Series 3 - National Commodity Futures Examination
BC
Issued 11/15/1986
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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