Richard James Duffy

CRD 2059442 · Morgan Stanley · Los Angeles, CA

IA RegisteredBroker

Also appears in the source record as: Richard Duffy

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): Series 63Series 72SIESeries 7
Registered states (35): Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Kansas · Louisiana · Maryland · Massachusetts · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · Pennsylvania · Puerto Rico · South Carolina · Tennessee · Texas · Utah · Virginia · Washington · Wyoming
Years in the industry (source record): 36
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Morgan Stanley
Firm CRD: 149777
SEC number: 801-70103
Assets under management: $2.0T as of Jun 30, 2026
Website: www.morganstanley.com ↗
Phone: 914-225-5510
Firm location: Purchase, NY, 10577-2530

Employment history (9)

From the source registration record · current first

Morgan StanleyCurrent
Los Angeles, CA · IA capacity

Oct 18, 2024 → present
Morgan Stanley & Co. LLC
BD capacity

Mar 4, 2019 → Oct 18, 2024
Morgan Stanley
BD capacity

Jun 24, 2014 → Mar 12, 2019
Morgan Stanley
IA capacity

Jun 24, 2014 → Mar 12, 2019
Morgan Stanley & Co. LLC
BD capacity

Nov 30, 2016 → May 16, 2017
J.P. Morgan Securities LLC
IA capacity

Mar 27, 2008 → Jul 11, 2014
J.P. Morgan Securities LLC
BD capacity

May 15, 1991 → Jul 11, 2014
Jesup, Josephthal Securities Co., Inc.
BD capacity

Oct 22, 1990 → Mar 25, 1991
Bear, Stearns & Co. Inc.
BD capacity

May 10, 1990 → Sep 21, 1990

Source & corrections

Where this page comes from

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