Morgan Stanley
DBA: Morgan Stanley Smith Barney Llc
2000 WESTCHESTER AVENUE, Purchase, New York 10577-2530
Confirmed via SEC Form ADV registration data. This firm has a legal obligation to act in your best interest.
This firm has disclosed additional revenue sources (insurance, brokerage, or proprietary products) in their SEC filings. Review the details below.
Fee Structure
Detailed Fee Schedule
compensation policies set conditions The rate ranges up to a maximum of 0.12% per year ($12 per for each of these types of payments, and do not permit any gifts $10,000 of assets) for mutual funds and applicable ETFs, and up or entertainment conditioned on achieving any sales target. t
Source: Form ADV Part 2 BrochureDisciplinary Disclosures
This firm has 247 disclosures on record with the SEC.
Criminal disclosures; Regulatory actions; Civil judicial actions
A disclosure does not necessarily indicate wrongdoing. Verify details on SEC Adviser Info or FINRA BrokerCheck.
Compensation Transparency
- Also registered with a broker-dealer
- Also offers proprietary investment products
These additional revenue sources are disclosed in the firm's Form ADV filing with the SEC. Ask the advisor directly how these affiliations affect the advice you receive.