Search results with tag "Morgan stanley smith barney"
Account Transfer Form Clearing Number: 0015 - Morgan …
www.morganstanley.comIf this account is a qualified retirement account and the delivering firm is trustee or custodian of the plan, I have amended the applicable plan so that it names Morgan Stanley Smith Barney LLC as successor custodian. Unless otherwise indicated in the instructions above, please transfer all assets in my account to Morgan Stanley. I understand that
Blue Bonds - Morgan Stanley
www.morganstanley.comall investors. Morgan Stanley Smith Barney LLC recommends that investors independently evaluate particular investments and strategies, and encourages investors to seek the advice of a Financial Advisor. The appropriateness of a particular investment or strategy will depend on an investor’s individual circumstances and objectives.
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