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Detailed Report
RICK ERNEST BERRY
RICK BERRY
CRD#: 6030752
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 1550 Market Street
Suite 600
Denver, CO 80202
Registration History
201220142016201820202022202420262 FIRMS2014 - Present (10 years)BAXA ADVISORS, LLC (CRD# 6627)2012 - 2014 (1 year)
License(s)

State Registrations

B
Alabama 9/7/2023
B
New Jersey 5/31/2023
B
Arizona 5/27/2014
B
New Mexico 5/27/2014
B
California 3/25/2015
B
New York 5/14/2014
B
Colorado 1/16/2014
B
North Carolina 8/12/2014
IA
Colorado 4/25/2014
B
Ohio 8/12/2014
B
Connecticut 9/13/2021
B
Oregon 5/26/2023
B
District of Columbia 8/5/2022
B
Pennsylvania 9/15/2022
B
Florida 7/24/2015
B
South Carolina 10/26/2017
B
Illinois 7/17/2014
B
South Dakota 2/11/2025
B
Indiana 6/22/2023
B
Tennessee 3/3/2017
B
Iowa 10/10/2017
B
Texas 8/11/2014
B
Kansas 5/26/2023
IA
Texas 7/24/2015
B
Maryland 5/18/2017
B
Virginia 3/8/2018
B
Massachusetts 5/14/2014
B
Washington 8/11/2014
B
Michigan 4/11/2023
B
West Virginia 10/18/2023
B
Minnesota 8/11/2014
B
Wisconsin 7/2/2019
B
Montana 4/20/2016
B
Wyoming 8/11/2014
B
Nevada 8/11/2014

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)
1550 Market Street Suite 600, Denver, CO 80202
Registered with this firm since 4/25/2014
B
MORGAN STANLEY (CRD#:149777)
1550 Market Street Suite 600, Denver, CO 80202
Registered with this firm since 1/16/2014
Previous Registration(s)
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B
 05/24/2012 - 01/21/2014 AXA ADVISORS, LLC (CRD#:6627) DENVER, CO
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.