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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 Slater is a Financial Advisor at Morgan Stanley. Richard has been a registered representative since November 1995 and has experience in the financial services industry for over 25 years. Richard is a Series 6, 7, 9, 10, 24, 63, 65, 79TO, 99TO, and SIE licensed advisor. Prior to joining Morgan Stanley, Richard was with Citigroup Global Markets Inc. from June 1998 to June 2009. Richard holds a Series 63 license for New Jersey. Richard also holds a Series 65 license for Delaware. Richard is a registered representative for Delaware, New Jersey, and New York.
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
NJ
06/16/2021 - Present
Morgan Stanley (Lawrenceville NJ)
NY
08/20/1999 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
11/25/1997 - 08/27/1998
NATWEST SECURITIES CORPORATION (NEW YORK NY)
MD
11/14/1995 - 10/25/1996
THE ADVISORS GROUP, INC. (BETHESDA MD)
IA
Issued 04/30/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/15/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/15/2008
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/02/2008
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/15/2004
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/01/1996
Series 7 - General Securities Representative Examination
BC
Issued 11/13/1995
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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