Search results with tag "Morgan stanley smith"
t an t mpr o I Account on i t mora f n I - Morgan Stanley
www.morganstanley.comor “our” refer to Morgan Stanley Smith Barney LLC. The words “you,” “your,” “yours” and “client” refer to the account owner(s). References in this booklet to “Financial Advisor” refer to either a Morgan Stanley Wealth Management Financial Advisor or a Morgan Stanley Private Wealth Management Private Wealth Advisor.
RESEARCH WEALTH MANAGEMENT ... - Morgan …
www.morganstanleyfa.comRESEARCH WEALTH MANAGEMENT INVESTMENT RESOURCES JUNE 28, 2018 Morgan Stanley Wealth Management is the trade name of Morgan Stanley Smith Barney LLC, a registered broker-dealer in the United States.
Overview of the Most Frequent Advisory Fee and Expense In ...
www.sec.govMatter of Morgan Stanley Smith Barney, LLC, Advisers Act Rel. No. 4607 (Jan. 13, 2017) (settled order) (finding that adviser violated Section 206(2) by charging clients advisory fees that did not reflect negotiated discounts). 4 Advisers Act Rule 206(4)-7. In this Alert: Topic: The most frequent advisory fee and expense compliance