Richard Catipon, financial advisor Palo Alto CA
90 score

Richard Catipon

CRD Number: 5946426
Current Firm: Morgan Stanley

Richard Catipon (CRD# 5946426) is an Investment Advisor Representative working at Morgan Stanley in Palo Alto, CA and has over 5 years of experience in the finance industry.

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Company Name Location Dates Years
Morgan Stanley Private Bank, National Association New York, NY Jan 2015 - Current 1
Morgan Stanley Palo Alto, CA Nov 2012 - Current 4
Advanced Equities Inc. San Francisco, CA Jun 2011 - Nov 2012 1
Unemployed Mission Viejo, CA May 2011 - Jun 2011 < 1
Dri Energy Irvine, CA Jan 2010 - May 2011 1
Cisco Systems / Webex Santa Clara, CA Nov 2000 - Jan 2010 9
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Aug 2011
Contact Info for Richard A. Catipon
Phone Number: 914-225-5510
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    535,890
    MILLIONS
  • Total Number of Accounts
    1,563,538
    ACCOUNTS
  • Average Account Value
    $342,742
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
90
Clean Record
This advisor has a clean track record with regulators.

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