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Detailed Report
JOHN RICHARD BLUM
CRD#: 731502
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 15 Independence Boulevard
1st Floor
Warren, NJ 07059
Registration History
1985199019952000200520102015202020252 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - Present (15 years)BMORGAN STANLEY DW INC. (CRD# 7556)1990 - 2007 (16 years)BSHEARSON LEHMAN HUTTON INC. (CRD# 7506)1982 - 1990 (7 years)BCALVIN BULLOCK, LTD. (CRD# 133)1981 - 1982 (1 year)IAMORGAN STANLEY (CRD# 7556)2002 - 2007 (4 years)
Disclosure(s)
View By:
2/1/1988
Customer Dispute
Award / Judgment
License(s)

State Registrations

B
Alabama 5/18/2022
B
Nevada 2/20/2019
B
Alaska 5/16/2022
B
New Hampshire 5/23/2022
B
Arizona 6/1/2009
B
New Jersey 6/1/2009
B
Arkansas 2/15/2019
IA
New Jersey 6/1/2009
B
California 6/1/2009
B
New Mexico 2/18/2019
B
Colorado 6/1/2009
B
New York 6/1/2009
B
Connecticut 6/1/2009
B
North Carolina 6/1/2009
B
Delaware 6/2/2022
B
North Dakota 2/15/2019
B
District of Columbia 5/20/2022
B
Ohio 5/18/2022
B
Florida 6/1/2009
B
Oklahoma 5/16/2022
B
Georgia 6/1/2009
B
Oregon 5/18/2022
B
Hawaii 5/18/2022
B
Pennsylvania 6/1/2009
B
Idaho 5/16/2022
B
Puerto Rico 2/21/2019
B
Illinois 4/25/2019
B
Rhode Island 3/1/2019
B
Indiana 11/27/2013
B
South Carolina 8/8/2017
B
Iowa 5/16/2022
B
South Dakota 2/15/2019
B
Kansas 5/16/2022
B
Tennessee 5/18/2022
B
Kentucky 5/18/2022
B
Texas 2/18/2019
B
Louisiana 5/16/2022
IA
Texas 4/8/2020
B
Maine 5/18/2022
B
Utah 2/19/2019
B
Maryland 1/28/2010
B
Vermont 1/12/2018
B
Massachusetts 6/1/2009
B
Virgin Islands 5/17/2022
B
Michigan 5/19/2022
B
Virginia 6/1/2009
B
Minnesota 6/1/2009
B
Washington 6/1/2009
B
Mississippi 2/19/2019
B
West Virginia 5/16/2022
B
Missouri 5/16/2022
B
Wisconsin 2/18/2019
B
Montana 6/16/2021
B
Wyoming 5/23/2022
B
Nebraska 2/19/2019

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)
15 Independence Boulevard 1st Floor, Warren, NJ 07059
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
15 Independence Boulevard 1st Floor, Warren, NJ 07059
Registered with this firm since 6/1/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) FAIRFIELD, NJ
B
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) FAIRFIELD, NJ
IA
 06/12/2002 - 04/02/2007 MORGAN STANLEY (CRD#:7556) FAIRFIELD, NJ
B
 05/10/1990 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) FAIRFIELD, NJ
B
 08/26/1982 - 05/14/1990 SHEARSON LEHMAN HUTTON INC. (CRD#:7506) NEW YORK, NY
B
 05/18/1981 - 08/12/1982 CALVIN BULLOCK, LTD. (CRD#:133)
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.