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Rick Anthony Baray

Morgan Stanley

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About Rick Anthony Baray

Rick Anthony Baray is a financial advisor at Morgan Stanley. Rick has been in the financial services industry since 2009. Rick has Series 6, 7, 63 and 66 licenses and has been registered with FINRA since 2011. Rick is a Certified Financial Planner and a Chartered Financial Analyst. Rick is a member of the Certified Financial Planner Board of Standards and the CFA Institute. Rick has experience working with a wide range of clients, including individuals, families, and businesses. Rick provides a variety of financial services, including financial planning, investment management, and retirement planning.

Firm Information

Rick Baray is currently registered with Morgan Stanley. Morgan Stanley is a Limited Liability Company based in PURCHASE, NY, formed in 2009. They offer a wide range of advisory services, including financial planning, pension consulting, educational seminars, and selection of other advisors. Their client base includes individuals, high-net-worth individuals, investment clubs, corporations, insurance companies, investment companies, charitable organizations, pension and profit-sharing plans, and state or municipal government entities. Morgan Stanley manages approximately $10 billion to $50 billion in assets. Their website addresses are HTTP://WWW.MORGANSTANLEYCLIENTSERV.COM and HTTP://WWW.MORGANSTANLEY.COM.
Morgan Stanley

2000 WESTCHESTER AVENUE

PURCHASE, NY 10577-2530

$1.40T

Assets Under Management

335,385

Total Clients

23,624

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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portfolio management for investment companies

Strategic management for diversified investment portfolios.

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asset allocation advice

Asset allocation advice

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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performance-based fees

Fees calculated based on the performance of your investments relative to a benchmark.

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other

See schedule d miscellaneous

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Rick Baray’s Registration & Firm History

VA

10/18/2024 - Present

Morgan Stanley (Mclean VA)

VA

04/01/2020 - 11/27/2023

MADISON AVENUE SECURITIES, LLC (Alexandria VA)

CO

07/16/2018 - 04/14/2020

CHARLES SCHWAB & CO., INC. (Lone Tree CO)

NY

12/12/2013 - 07/29/2016

USAA FINANCIAL ADVISORS, INC. (NEW YORK NY)

CA

10/01/2012 - 11/20/2013

J.P. MORGAN SECURITIES LLC (ESCONDIDO CA)

CA

04/25/2012 - 10/01/2012

CHASE INVESTMENT SERVICES CORP. (LA JOLLA CA)

CA

01/25/2011 - 04/02/2012

NEW ENGLAND SECURITIES (SAN DIEGO CA)

CA

10/15/2009 - 01/10/2011

CHASE INVESTMENT SERVICES CORP. (ESCONDIDO CA)

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Licenses & Designations

BOTH

Issued 03/19/2011

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/23/2009

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/18/2011

Series 7 - General Securities Representative Examination

BC

Issued 10/14/2009

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Rick Anthony Baray.
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