Morgan Stanley

Broker-DealerFINRA Member

Total AUM

$2T

Discretionary

$1.4T

73% of AUM

Accounts

2,703,720

Employees

29,481

Advisory reps

26,805

Brokerage reps

26,985

Firm details

Headquarters: Purchase, New York
CRD number: 149777
Registered since: May 11, 2009
Website: www.morganstanley.com
Custodians: MORGAN STANLEY & CO. LLC
Fee structure: Percentage of AUM, Fixed Fees, Commissions, Performance Based Fees, Other
Client types: Individuals63.48%
HNWI26.89%
Charitable Organizations4.05%
Pension & Profit Sharing Plans3.82%
Corporations / Businesses0.71%
Services: Financial PlanningPortfolio Management for IndividualsPortfolio Management for Investment CompaniesPortfolio Management for Institutional ClientsPension ConsultingSelection of Other AdvisersEducational Seminars / Workshops

Firm profile

FINTRX

Overview

Morgan Stanley operates as a limited liability company that combines wirehouse brokerage, investment banking and qualified custodian capabilities. The firm is SEC-registered (registered in 2009) and describes itself as a capital allocator that serves both individual/family and institutional clients. Its distribution of fee types includes percentage-of-AUM, fixed fees, commissions and performance-based arrangements. As a broker-dealer and financial product salesperson, the firm also provides a broad suite of advisory services: financial planning, portfolio management for individuals, businesses and investment companies, pension consulting, selection of other advisers and educational programming. The firm is an active ESG investor and maintains a range of industry affiliations spanning broker-dealer, registered security-based swap dealer, commodity/futures roles, banking and trust activities, insurance operations and sponsor/GP functions for pooled investment vehicles.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

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Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Exchange Traded Equities58%
Public Funds/Mutual Funds25%
Investment Grade Corp Bonds4%
Private Funds4%
Cash & Cash Equivalents4%

Owners & executives

3 of 60

Shawna Aschmies
Vice President, Chief of StaffCRD 5753844
Beth Mason
Vice President, Chief of StaffCRD 5089803
Anna Sime
Business Services CoordinatorCRD 5137839

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Contacts

3 of 26745

Matthew Selker
Financial Advisor & Senior Vice President - Wealth ManagementCRD 5639800
Lydia Ferrer
Senior Registered Client Service AssociateCRD 5639993
Alexander Blank
Financial Advisor & Senior Vice President - Wealth ManagementCRD 5640207