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Morgan Stanley Smith Barney LLC

Morgan Stanley Smith Barney LLC
Morgan Stanley Smith Barney LLC is a broker-dealer with over 24,113 financial professionals registered nationwide. The firm's primary clients are Individuals, High Net Worth Individuals and Other Investment Advisors.

Firm Information

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Advisors (24,112)

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Name Start Date
A C Rippolone Jun 2009
A Corey Stansell Jul 2010
A Jane Hickman Jun 2009
A Joseph Pleiman Jun 2009
A Lee Morris Jun 2009
View All
*Unless otherwise noted, an advisor's inclusion in the above list is based on that advisor's registration as per their SEC registration filing. Please note that the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an advisor listed above may no longer be employed by that firm. Please contact the firm directly to determine the employment status of the advisors listed above.

Firm Assets Under Management

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$329.7B
Total Assets
1M
Accounts
$247.9K
Estimated Average Account Balance
*The AUM displayed is firm level data as reported on the SEC ADV filings and may not reflect all of a firm's assets.
*Average Account Balance is the total AUM of the firm divided by the number of accounts listed on the SEC ADV filing. This calculation is an estimate.

Ownership

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ownership pie chart
  •   Morgan Stanley Smith Barney Holdings LLC (75% or more)
  •   Executives with less than 5% share each

*The pie chart is not drawn to scale and is simply included to make the data visually understandable. The ownership is from the firm's or advisor's Form ADV. Executives with less than 5% share may not own any of the firm. Please see the Form ADV for complete disclosure.

Executives and Control Persons

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Name Title Tenure Date
James Patrick Gorman Chairman and Director 02/01/2009
Thomas Gooley Chief Operations Officer 02/01/2009
Jeffrey Allen Gelfand Chief Financial Officer and Vice President 02/01/2009
Raymond Albert Harris Director 02/01/2009
James Anthony Forese Director 02/01/2009

Affiliated Investment Advisors and Broker Dealers

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No firm affiliates listed.

Principal Office & Place of Business

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Principal Office

Address:
2000 Westchester Avenue
Purchase , NY 10577-2530
Phone Number: 914-225-1000
Other Offices Address City State Zip
522 Fifth Avenue New York NY 10036
High Street Tower Boston MA 02110
31 West 52nd Street New York NY 10019
399 Park Avenue, 12th Flor New York NY 10022
444 South Flower Street Los Angeles CA 90071

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Fixed Fees
  • Commissions
  • Other: SEE SCHEDULE D MISCELLANEOUS