Kirk-Patrick L Richards

CRD 4209041 · Morgan Stanley · Las Vegas, NV

IA RegisteredBroker

Also appears in the source record as: Kirk Richards; Kirk Patrick Leonard Richards; Kirk-Patrick Leonard Richards

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (7): Series 66Series 63Series 24Series 10Series 9SIESeries 7
Registered states (53): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 26
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 (15)

From the source registration record · current first

Morgan StanleyCurrent
Las Vegas, NV · IA capacity

Jan 5, 2021 → present
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Sep 11, 2013 → Dec 7, 2020
Merrill Lynch, Pierce, Fenner & Smith Incorporated
IA capacity

Sep 11, 2013 → Dec 7, 2020
Ubs Financial Services Inc.
IA capacity

Sep 20, 2012 → Sep 4, 2013
Ubs Financial Services Inc.
BD capacity

Sep 19, 2012 → Sep 4, 2013
Merrill Lynch, Pierce, Fenner & Smith Incorporated
IA capacity

Oct 12, 2009 → Sep 11, 2012
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Oct 5, 2009 → Sep 11, 2012
Axa Advisors, LLC
IA capacity

Mar 13, 2009 → Jun 1, 2009
Axa Advisors, LLC
BD capacity

Mar 9, 2009 → Jun 1, 2009
Merrill Lynch, Pierce, Fenner & Smith Incorporated
IA capacity

May 5, 2006 → Mar 3, 2009
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

May 4, 2006 → Mar 3, 2009
Valmark Securities, Inc.
BD capacity

Feb 27, 2006 → Apr 11, 2006
Merrill Lynch Pierce Fenner & Smith Inc.
IA capacity

Apr 12, 2004 → Nov 11, 2005
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Dec 17, 2003 → Nov 11, 2005
Charles Schwab & Co., Inc.
BD capacity

Oct 19, 2000 → Jul 5, 2001

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 4209041 ↗ FINRA BrokerCheck record for CRD 4209041 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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