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Rose-anne N Richter

Morgan Stanley & Co. LLC

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About Rose-anne N Richter

Rose-anne Richter is a financial advisor with over 29 years of experience in the financial services industry. Rose-anne holds multiple licenses, including Series 7, Series 57TO, Series 79TO, Series 72 and SIE. Rose-anne is currently registered with Morgan Stanley & Co. LLC and Wealthpenn.comllc.

Firm Information

Rose-anne Richter is currently registered with Morgan Stanley & Co. LLC. Morgan Stanley & Co. LLC is a Limited Liability Company formed on December 3, 1969. It is registered in 53 states and has one approved SEC registration. The firm has been involved in 471 Regulatory Events, 5 Civil Events, and 54 Arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

462

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.

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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Rose-anne Richter’s Registration & Firm History

NY

03/04/2020 - Present

Morgan Stanley & Co. LLC (NEW YORK NY)

NJ

04/20/2022 - 09/05/2023

E*TRADE SECURITIES LLC (JERSEY CITY NJ)

NY

02/14/2011 - 07/07/2016

PRIME DEALER SERVICES CORP. (NEW YORK NY)

NY

06/20/1994 - 07/07/2016

MORGAN STANLEY & CO. LLC (NEW YORK NY)

NY

12/16/2011 - 08/12/2013

MS SECURITIES SERVICES INC. (NEW YORK NY)

NY

12/06/2002 - 10/29/2008

MORGAN STANLEY MARKET PRODUCTS INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 01/23/2006

Series 14 - Compliance Officer Examination

BC

Issued 01/02/2023

Series 72 - Government Securities Representative Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/18/1994

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

MIAX Sapphire

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Rose-anne N Richter.
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