Richard Charles Newman

CRD 718293 · Morgan Stanley · Tonganoxie, KS

IA RegisteredBroker

Also appears in the source record as: Rick Newman

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 66Series 63SIESeries 7Series 6
Registered states (21): Arizona · California · Colorado · Florida · Hawaii · Idaho · Indiana · Kansas · Massachusetts · Missouri · Nevada · New Mexico · New York · North Dakota · Oklahoma · Oregon · South Carolina · Texas · Virginia · Washington · Wyoming
Years in the industry (source record): 46
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 (10)

From the source registration record · current first

Morgan StanleyCurrent
Tonganoxie, KS · IA capacity

Jun 1, 2009 → present
Citigroup Global Markets Inc.
IA capacity

Dec 7, 2004 → Jun 1, 2009
Citigroup Global Markets Inc.
BD capacity

May 4, 2000 → Jun 1, 2009
Prudential Securities Incorporated
BD capacity

Mar 25, 1996 → Apr 26, 2000
Oppenheimer & Co., Inc.
BD capacity

Dec 12, 1992 → May 1, 1996
Pruco Securities Corporation
BD capacity

Mar 28, 1991 → Mar 29, 1994
Hagar Securities Corporation
BD capacity

Jun 19, 1990 → Jan 17, 1991
Manequity, Inc.
BD capacity

Apr 10, 1990 → Jul 17, 1990
New England Securities Corporation
BD capacity

Aug 28, 1986 → Oct 8, 1988
Nel Equity Services Corporation
BD capacity

Nov 3, 1980 → Dec 23, 1985

Source & corrections

Where this page comes from

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