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Richard Patrick Morrow

Investment Adviser Representative at RBC CAPITAL MARKETS, LLC

Westport, CTCRD #4875346Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
22 yrs
States Registered
35 states
Exams Passed
6

Registrations & licenses

Registration type
Dual-registered
Registered in 35 states
ArizonaArkansasCaliforniaColoradoConnecticutDelawareDistrict of ColumbiaFloridaGeorgiaHawaiiIllinoisIndianaIowaKentuckyMarylandMassachusettsMichiganMinnesotaNebraskaNevadaNew HampshireNew JerseyNew MexicoNew YorkNorth CarolinaOhioOregonPennsylvaniaSouth CarolinaTexasUtahVermontVirginiaWashingtonWest Virginia
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 1/7/2005
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 31
Futures Managed Funds Examination
Passed 3/18/2005
Series 7
General Securities Representative Examination
Passed 12/8/2004
Series 10
General Securities Sales Supervisor - General Module Examination
Passed 11/7/2022
Series 9
General Securities Sales Supervisor - Options Module Examination
Passed 7/18/2022

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

RBC Capital Markets, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

RBC CAPITAL MARKETS, LLCCurrent
2/17/2022Westport, CT
RBC CAPITAL MARKETS, LLCCurrent
2/17/2022Fairfield, CT
MORGAN STANLEY
10/1/20092/18/2022Westport, CT
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
1/10/200510/2/2009Fairfield, CT

Official records & sources

Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Richard Patrick Morrow has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Richard Patrick Morrow - Financial Advisor in Westport, CT | AdvisorFinder