Individual Firm
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
RICHARD T BURNS
RICHARD TRAVIS BURNS, Rick Burns
CRD#: 3024029
IA
B
MORGAN STANLEYCRD#: 149777 3 Edison Drive
Alpharetta, GA 30005
Alpharetta, GA 30005
View By:
2/25/2019
Customer Dispute
Closed-No Action
4/20/2017
Customer Dispute
Closed-No Action
State Registrations
B
Alabama 9/5/2023
B
Nevada 9/5/2023
B
Alaska 9/5/2023
B
New Hampshire 9/5/2023
B
Arizona 9/5/2023
B
New Jersey 9/5/2023
B
Arkansas 9/5/2023
B
New Mexico 9/5/2023
B
California 9/5/2023
B
New York 9/5/2023
B
Colorado 9/5/2023
B
North Carolina 9/5/2023
B
Connecticut 9/5/2023
IA
North Carolina 9/5/2023
B
Delaware 9/5/2023
B
North Dakota 9/5/2023
B
District of Columbia 9/5/2023
B
Ohio 9/5/2023
B
Florida 9/5/2023
B
Oklahoma 9/5/2023
B
Georgia 9/5/2023
B
Oregon 9/5/2023
IA
Georgia 10/3/2023
B
Pennsylvania 9/5/2023
B
Hawaii 9/5/2023
B
Puerto Rico 9/5/2023
B
Idaho 9/5/2023
B
Rhode Island 9/5/2023
B
Illinois 9/5/2023
B
South Carolina 9/5/2023
B
Indiana 9/5/2023
IA
South Carolina 9/5/2023
B
Iowa 9/5/2023
B
South Dakota 9/5/2023
B
Kansas 9/5/2023
B
Tennessee 9/5/2023
B
Kentucky 9/5/2023
B
Texas 9/5/2023
B
Louisiana 9/5/2023
IA
Texas 9/21/2023
B
Maine 9/5/2023
B
Utah 9/5/2023
B
Maryland 9/5/2023
B
Vermont 9/5/2023
B
Massachusetts 9/5/2023
B
Virgin Islands 9/5/2023
B
Michigan 9/5/2023
B
Virginia 9/5/2023
B
Minnesota 9/5/2023
B
Washington 9/5/2023
B
Mississippi 9/5/2023
B
West Virginia 9/5/2023
B
Missouri 9/5/2023
B
Wisconsin 9/5/2023
B
Montana 9/5/2023
B
Wyoming 9/5/2023
B
Nebraska 9/5/2023
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 9/5/2023
B
Registered with this firm since 9/5/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/18/2022 - 09/05/2023 | FORT MILL, SC | |
B | 07/18/2022 - 09/05/2023 | CHARLOTTE, NC | |
IA | 10/01/2019 - 07/07/2022 | CHARLOTTE, NC | |
B | 03/26/2004 - 07/07/2022 | CHARLOTTE, NC | |
B | 10/13/2003 - 04/01/2004 | WESTLAKE, TX | |
B | 07/01/2002 - 10/02/2003 | LOS ANGELES, CA | |
B | 11/29/2001 - 05/16/2002 | FORT MILL, SC | |
B | 08/29/2000 - 09/13/2001 | PHOENIX, AZ | |
B | 07/20/1998 - 08/16/2000 | WESTLAKE, TX |
For additional information about investment advisers or broker-dealers, please visit
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.