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Detailed Report
Rick A Fossey
RICK A FOSSEY, RICK ALAN FOSSEY
CRD#: 2586562
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 8300 Norman Center Drive
Bloomington, MN 55437
Registration History
19952000200520102015202020252 FIRMS2024 - Present (<1 year)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1995 - 2024 (29 years)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1998 - 2024 (25 years)
License(s)

State Registrations

B
Alaska 5/24/2024
B
Missouri 5/24/2024
B
Arizona 5/24/2024
B
Nebraska 5/24/2024
IA
Arizona 1/10/2025
B
Nevada 5/24/2024
B
California 5/24/2024
B
New Jersey 5/24/2024
B
Colorado 5/24/2024
B
New Mexico 5/24/2024
B
District of Columbia 5/24/2024
B
New York 5/24/2024
B
Florida 5/24/2024
B
North Carolina 5/24/2024
B
Hawaii 5/24/2024
B
North Dakota 5/24/2024
B
Idaho 5/24/2024
B
Ohio 5/24/2024
B
Illinois 5/24/2024
B
Oklahoma 5/24/2024
B
Iowa 5/24/2024
B
South Dakota 5/24/2024
B
Kansas 5/24/2024
B
Texas 5/24/2024
B
Kentucky 5/24/2024
IA
Texas 5/24/2024
B
Maryland 5/24/2024
B
Utah 5/24/2024
B
Massachusetts 5/24/2024
B
Washington 5/24/2024
B
Minnesota 5/24/2024
B
Wisconsin 5/24/2024
IA
Minnesota 5/24/2024

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MORGAN STANLEY (CRD#:149777)
8300 Norman Center Drive, Bloomington, MN 55437
14850 North Scottsdale Road Suite 600, Scottsdale, AZ 85254
Registered with this firm since 5/24/2024
B
MORGAN STANLEY (CRD#:149777)
8300 Norman Center Drive, Bloomington, MN 55437
14850 North Scottsdale Road Suite 600, Scottsdale, AZ 85254
Registered with this firm since 5/24/2024
Previous Registration(s)
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IA
 09/25/1998 - 05/28/2024 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) BLOOMINGTON, MN
B
 04/12/1995 - 05/28/2024 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) BLOOMINGTON, MN
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.