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Rose-Anne-Nancy Richter

MORGAN STANLEY SMITH BARNEY LLC·PURCHASE, New York
SIE, Series 7, Series 14, Series 57TO, Series 72, Series 79TOClean recordMORGAN STANLEY SMITH BARNEY LLC
2000 WESTCHESTER AVENUE, PURCHASE, NY 10577-2530CRD# 1771193Firm CRD# 149777

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
Rose-Anne-Nancy Richter · PURCHASE, NY
Registration
CRD #1771193 · MORGAN STANLEY SMITH BARNEY LLC
Brand Profile
Not yet started
01

Registrations & Exams

FINRA examinations passed
SIE
Series 7
Series 14
Series 57TO
Series 72
Series 79TO
02

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

03

Firm Overview

Firm
MORGAN STANLEY SMITH BARNEY LLC
CRD 149777 · SEC 801-70103
AUM
$1402.4B
Regulatory assets under management
Employees
29,300
2,405,783 client accounts
Services offered by MORGAN STANLEY SMITH BARNEY LLC
Per Form ADV
Financial planning
Portfolio management (individuals)
Portfolio management (pooled investments)
Selection of other advisers
Publication of periodicals/newsletters
Security ratings or pricing services
Charitable organization or education services
Other
Client types served by the firm
Per Form ADV
Individuals
Institutional Investors
High Net Worth Individuals
Nonprofits & Foundations
View all advisors at MORGAN STANLEY SMITH BARNEY LLC →
Introduction

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04

Frequently Asked Questions

What services does Rose-Anne-Nancy Richter offer?
Rose-Anne-Nancy Richter specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in PURCHASE, New York for a consultation.
What are Rose-Anne-Nancy Richter's credentials?
Rose-Anne-Nancy Richter is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is Rose-Anne-Nancy Richter located?
Rose-Anne-Nancy Richter is based in PURCHASE, New York, working with MORGAN STANLEY SMITH BARNEY LLC. Their office serves clients in the PURCHASE metropolitan area and surrounding communities.
How does Rose-Anne-Nancy Richter charge for services?
Rose-Anne-Nancy Richter's firm is compensated through percentage of aum, subscription fees, commissions, performance-based fees, other: see schedule d miscellaneous. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is MORGAN STANLEY SMITH BARNEY LLC?
MORGAN STANLEY SMITH BARNEY LLC has approximately 29300 employees and manages $1402.4B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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Other Advisors at MORGAN STANLEY SMITH BARNEY LLC

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James Patrick Gorman
PURCHASE, NY
Jeffrey Allen Gelfand
PURCHASE, NY
Edward Noel Pick
PURCHASE, NY

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