Richard M Schwartz

CRD 735471 · Morgan Stanley · Warren, NJ

IA RegisteredBroker

Also appears in the source record as: Richard Mark Schwartz

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (9): Series 65Series 63Series 9Series 10SIESeries 31Series 7Series 6Series 52
Registered states (38): Alabama · Alaska · Arizona · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Illinois · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Missouri · Nebraska · Nevada · New Hampshire · New Jersey · New York · North Carolina · Ohio · Oregon · Pennsylvania · Rhode Island · South Carolina · Texas · Utah · Vermont · Virginia · Washington · Wisconsin
Years in the industry (source record): 45
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
Warren, NJ · IA capacity

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

Oct 5, 2007 → Jun 1, 2009
Citigroup Global Markets Inc.
IA capacity

Oct 5, 2007 → Jun 1, 2009
Merrill Lynch Pierce Fenner & Smith Inc.
IA capacity

Feb 17, 1995 → Oct 9, 2007
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Sep 14, 1990 → Oct 9, 2007
Prudential-Bache Securities Inc.
BD capacity

Jul 29, 1983 → Sep 28, 1990
Moore & Schley, Cameron & Co.
BD capacity

Mar 15, 1983 → Jul 27, 1983
Moore & Schley Municipals, Inc.
BD capacity

Nov 15, 1982 → Jul 27, 1983
J. B. Hanauer & Co.
BD capacity

Jun 22, 1981 → Nov 8, 1982

Source & corrections

Where this page comes from

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