1008(212) 762-4000, Morgan Stanley & Co.2000 Westchester AvenuePurchase, The firm compensates employees in addition to the salary for bringing in new clients. By researching lawyer discipline you can: Copyright © 2020, Thomson Reuters. : No. The Commission ordered the Respondent to pay a total of $2,963,735.61 in disgorgement, prejudgment interest, and a civil money penalty. NY 10019- 200Pensacola, 200 Pensacola, FL 32502 (850) 433-3156 MORGAN STANLEY SMITH BARNEY LLC, : Defendant. The firm provides services to individuals, insurance companies, investment companies, charitable organizations, high net worth individuals, banking or thrift institutions, corporations or other businesses, pension and profit sharing plans, and state or municipal government entities. On May 31, 2012, Morgan Stanley exercised its option to purchase an additional 14% of the joint venture from Citi. Your feedback must be at least 50 characters. MN 55102(651) 215-8459, Morgan Stanley & Co. LLC - Morgan Stanley Smith Barney LLC (Branch Office)850 S Palafox St., Ste. It is always a good idea to research your lawyer prior to hiring. 33-10290. 1% of the firm’s clients are foreign persons or businesses. Among the 10 most similar advisory firms, Morgan Stanley Smith Barney has the highest percentage of individuals out of all clients. There are 654 people with the role of looking for and bringing in new clients on behalf of the firm. Track performance, allocation, dividends, and risks, Annotate, download XLSX & look up similar tables, Filter, compare, and track coins & tokens. Sara Hassan Furber has been acting as President since 1 Jul 2013. On September 14, 2017, the Commission issued an order appointing Miller Kaplan Arase LLP as the Tax Administrator to fulfill the tax obligations of the Fair Fund. On average, the discretionary accounts where all decisions are made on behalf of the client hold $401.71 thousand each. To view a brochure supplement, please search by the individual's name or team/group name using the locator tool below. Morgan Stanley Smith Barney (doing business as Morgan Stanley Wealth Management, or MSWM) formed in 2009 as a joint venture between Morgan Stanley and Citigroup. 3-17809.

It has been registered with the SEC as an adviser since 2009 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 47 other states. Ensure the attorney is currently licensed to practice in your state. Please share your opinion of working with this law firm. The Respondent has paid, as ordered, a total of $2,963,735.61 into the Fair Fund for distribution to harmed investors. NY 10077.

On January 24, 2017, the Commission instituted and simultaneously settled cease-and-desist proceedings against Morgan Stanley Smith Barney LLC (“Respondent”). The ADV brochure supplement provides information about your Financial Advisor, Private Wealth Advisor or other investment professionals. The largest group of clients of Sara Hassan Furber is individuals with 1,775,108 clients and $550.16 billion of assets under management.

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