Richard Vozel, financial advisor Pittsburgh PA
83 score

Richard Vozel

CRD Number: 3068953
Current Firm: Morgan Stanley

Richard Vozel (CRD# 3068953) is an Investment Advisor Representative working at Morgan Stanley in Pittsburgh, PA and has over 18 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 Smith Barney Pittsburg, PA Jun 2009 - Current 7
Morgan Stanley & Company, Incorporated Pittsburg, PA Apr 2007 - Current 9
Morgan Stanley Dw Inc. Pittsburgh, PA Mar 2007 - Apr 2007 < 1
Wachovia Securities LLC Sewickley, PA Aug 2005 - Mar 2007 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jul 1998
S65 NASAA Investment Advisors Law Examination Jul 1998
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Richard G. Vozel
Phone Number: 914-225-5510
Registered State(s):
  • PA
  • TX
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
83

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