Isaac Fendrick
Private Wealth Management Analyst
Phone:
(215) 854-6110(215) 854-6110
Morgan Stanley Private Wealth Management
David H. Smith
Executive Director,
Private Wealth Advisor,
Family Wealth Director,
Alternative Investments Director,
Portfolio Management Director
Direct:
(215) 963-3804(215) 963-3804
My Mission Statement
Our team sits at the crossroads of entrepreneurship and capital markets. We help clients plan for and maximize the value of their liquidity.
Biography & Capabilities
David has more than 25 years of experience in the financial services industry as a financial advisor exclusively serving the needs of high net worth individuals, families and foundations. He has an extensive background in post-sale liquidity management, including hedging and monetization strategies, restricted and control securities strategies, and tax management. David and his team actively monitor the investment landscape for potential opportunities and strategies that seek to provide a favorable risk/reward balance given current market conditions. Finally, David provides tailored guidance on trust, estate and intergenerational wealth transfer issues.
David joined Morgan Stanley Private Wealth Management as an Executive Director in July of 2020, achieved the Family Wealth Director designation in August of 2021, the Senior Portfolio Manager designation in July of 2022, and the Alternative Investments Director designation in April of 2023. Prior to joining Morgan Stanley, David spent 21 years in Private Wealth Management at Goldman Sachs, where he was a Certified Wealth Advisor and a team leader.
David’s prior work experience includes active duty in the U.S. Army, where he served a tour in Bosnia-Herzegovina during Operation Joint Endeavor, as well as internships at J.P. Morgan and Alex Brown and Sons. David graduated Beta Gamma Sigma from Columbia University with an MBA in Finance, and received his BBA in Finance from Loyola College in Baltimore, graduating with honors as a member of the Financial Management Association Honor Society.
Capabilities:
- Comprehensive Wealth Planning
- Investment Management
- Risk Management
- Tax, Trust & Estate Planning Strategies
- Family Governance & Wealth Education
- Lifestyle Advisory Services
- Asset Allocation
- Manager Selection
- Sustainable & Responsible Investing
- Hedging Strategies
- Cash Management & Lending
- 10b5-(1) Programs
- Consolidated Reporting
David joined Morgan Stanley Private Wealth Management as an Executive Director in July of 2020, achieved the Family Wealth Director designation in August of 2021, the Senior Portfolio Manager designation in July of 2022, and the Alternative Investments Director designation in April of 2023. Prior to joining Morgan Stanley, David spent 21 years in Private Wealth Management at Goldman Sachs, where he was a Certified Wealth Advisor and a team leader.
David’s prior work experience includes active duty in the U.S. Army, where he served a tour in Bosnia-Herzegovina during Operation Joint Endeavor, as well as internships at J.P. Morgan and Alex Brown and Sons. David graduated Beta Gamma Sigma from Columbia University with an MBA in Finance, and received his BBA in Finance from Loyola College in Baltimore, graduating with honors as a member of the Financial Management Association Honor Society.
Capabilities:
- Comprehensive Wealth Planning
- Investment Management
- Risk Management
- Tax, Trust & Estate Planning Strategies
- Family Governance & Wealth Education
- Lifestyle Advisory Services
- Asset Allocation
- Manager Selection
- Sustainable & Responsible Investing
- Hedging Strategies
- Cash Management & Lending
- 10b5-(1) Programs
- Consolidated Reporting
Securities Agent: NY, NJ, GA, KY, MN, DC, AR, PA, NH, CT, CA, WV, NC, MD, AZ, MI, VA, TN, SC, MA, FL, OH, NM, DE, TX; General Securities Representative; Investment Advisor Representative; Transactional Futures/Commodities; Managed Futures
NMLS#: 2049895
NMLS#: 2049895
Check the background of Our Firm and Investment Professionals on FINRA's BrokerCheck.*
About PWM
Founded in 1977, Private Wealth Management is the division of Morgan Stanley Wealth Management that is dedicated to serving the firm’s most affluent clients, including some of the world’s most accomplished entrepreneurs, executives and stewards of multigenerational wealth. Functioning as an exclusive investment boutique within a global financial firm, we deliver sophisticated solutions that leverage the intellectual capital and insight of Morgan Stanley’s substantial global resources. Drawing on a deep understanding of your financial life, our goal is to help you:
- Manage investments with an unwavering focus on your financial strategy and personal goals
- Create comprehensive, multigenerational wealth management plans based on your needs, challenges and the values that guide your life and legacy
- Simplify financial complexity to help you achieve clarity and control
Private Wealth Management Highlights
- Approximately 350 teams1 specialized in assisting individuals and families with $20MM+ in investable assets
- Over $980 billion in AUM1
- Comprising 23% of the Barron’s Top 250 Private Wealth Management Teams for 2024
- Direct access to ultra high net worth experts in philanthropy, family dynamics, wealth transfer, lifestyle advisory and other areas of interest to ultra high net worth families
1 Morgan Stanley Wealth Management, December, 2024
Source: Barron's.com (May 2024) 2024 Barron's Top 250 Private Wealth Management Teams awarded in 2024. The teams are ranked on a variety of factors, including their size and shape, their regulatory records and credentials of their members, and the resources they have at their disposal to serve their client bases. The rankings are meant as a starting point for clients looking for an advisor—a first-pass vetting that can help investors narrow a search. Every advisor will have his or her own approach to investing, financial planning, and other services. Clients are encouraged to approach a search for an advisor the way they would a search for a doctor—interviewing multiple professionals and getting opinions from multiple third parties. Rankings are based on the opinions of Barron's and this ranking may not be representative of any one client’s experience. This ranking is not indicative of the Financial Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark of Dow Jones & Company, L.P. All rights reserved.
Family Wealth Director
David was named a Family Wealth Director in August of 2021, after entering the Family Wealth Director program in January of 2021. As of 12/31/24, less than 5% of all Morgan Stanley Financial Advisors have attained the Family Wealth Director designation.
Morgan Stanley designed the Family Wealth Director program to give select Financial Advisors the specialized training, resources, and experience necessary to advise high net worth families in a manner commensurate with a multi-family office. Upon being nominated for the Family Wealth Director program, advisors must complete a rigorous 8-month, 100+ hour series of training exercises, modules and tests, culminating with a two-part written examination and a 6-hour oral exam exercise.
The Family Wealth Directors maintain a high level of proficiency in the following functional areas:
- Wealth Transfer Techniques
- Integration of Wealth Transfer, Asset Allocation, and Manager Selection
- Management of Family Dynamics
- Behavioral Finance
- Personal Risk Management
- Asset Protection Planning
- Philanthropy
- Income Taxation
- Control & Restricted Securities
- Equity Risk Management
- Allocating to Alternative Investments
- Cash Management and Lending
- Business Succession Planning
- Monetizing Business Ownership
- Impact Investing
Morgan Stanley designed the Family Wealth Director program to give select Financial Advisors the specialized training, resources, and experience necessary to advise high net worth families in a manner commensurate with a multi-family office. Upon being nominated for the Family Wealth Director program, advisors must complete a rigorous 8-month, 100+ hour series of training exercises, modules and tests, culminating with a two-part written examination and a 6-hour oral exam exercise.
The Family Wealth Directors maintain a high level of proficiency in the following functional areas:
- Wealth Transfer Techniques
- Integration of Wealth Transfer, Asset Allocation, and Manager Selection
- Management of Family Dynamics
- Behavioral Finance
- Personal Risk Management
- Asset Protection Planning
- Philanthropy
- Income Taxation
- Control & Restricted Securities
- Equity Risk Management
- Allocating to Alternative Investments
- Cash Management and Lending
- Business Succession Planning
- Monetizing Business Ownership
- Impact Investing
Alternative Investments Director
David was named an Alternative Investments Director in April of 2023 for his contributions to Morgan Stanley’s Alternative Investments program and following his certification by the Chartered Alternative Investment Analyst (CAIA) Association.
Morgan Stanley’s Alternative Investments Directors are ambassadors for Alternative Investments both inside and outside the firm, speaking at or sitting on a panels at continuous learning programs such as Alternative Investment Universities, mentoring peers, and/or strategically partnering as desired. Alternative Investments Directors must demonstrate significant and relevant experience in Alternative Investments and maintain a satisfactory compliance record. In addition to completing internal training and qualification requirements, Alternative Investments Directors must complete coursework authored by the Chartered Alternative Investment Analyst (CAIA) Association, covering subject matter areas including:
- Return Attribution, Autocorrelation and Risk-Adjusted Performance
- Strategy-Specific Due Diligence
- IRR, TVPI, DPI and RVPI Calculations
- Managing Market Risk, Operational Risk, and Internal Control Procedures
- Hedge Fund Analysis and Data Biases
- Real Assets: Timber, Art, Intellectual Property and Infrastructure Investments
- Commodity Futures Indices and Strategies
- Credit Default Swap Strategies
- CDO Strategies and Tranche Risk Analysis
Morgan Stanley’s Alternative Investments Directors are ambassadors for Alternative Investments both inside and outside the firm, speaking at or sitting on a panels at continuous learning programs such as Alternative Investment Universities, mentoring peers, and/or strategically partnering as desired. Alternative Investments Directors must demonstrate significant and relevant experience in Alternative Investments and maintain a satisfactory compliance record. In addition to completing internal training and qualification requirements, Alternative Investments Directors must complete coursework authored by the Chartered Alternative Investment Analyst (CAIA) Association, covering subject matter areas including:
- Return Attribution, Autocorrelation and Risk-Adjusted Performance
- Strategy-Specific Due Diligence
- IRR, TVPI, DPI and RVPI Calculations
- Managing Market Risk, Operational Risk, and Internal Control Procedures
- Hedge Fund Analysis and Data Biases
- Real Assets: Timber, Art, Intellectual Property and Infrastructure Investments
- Commodity Futures Indices and Strategies
- Credit Default Swap Strategies
- CDO Strategies and Tranche Risk Analysis
PORTFOLIO MANAGEMENT DIRECTOR
David was named a Portfolio Management Director in January of 2024 for his contributions to Morgan Stanley’s Portfolio Management program following his designation as a Senior Portfolio Manager in July of 2022. Approximately 9% of all Morgan Stanley financial advisors have attained the Portfolio Management Director designation.
Morgan Stanley Wealth Management’s Portfolio Management program provides a platform through which clients can open investment advisory accounts which qualified and approved Morgan Stanley Financial Advisors manage on a discretionary basis for an asset-based fee. To be considered for the Portfolio Management program, advisors must meet strict standards in terms of investment discipline, compliance track record, tenure, and assets under management. Advisors must also meet all Series 7, 63 and 65 (or 66) registration requirements.
Once accepted into the Portfolio Management qualification process, advisors undergo an intense course of study including but not limited to the following topics:
- Capital Market Theory and Asset Pricing Models
- Common Stock Valuation, Analysis and Strategy
- Economic, Sector and Industry Analysis
- Fixed Income Analysis, Valuation and Management
- Derivative Securities
- Evaluation of Investment Performance
Morgan Stanley Wealth Management’s Portfolio Management program provides a platform through which clients can open investment advisory accounts which qualified and approved Morgan Stanley Financial Advisors manage on a discretionary basis for an asset-based fee. To be considered for the Portfolio Management program, advisors must meet strict standards in terms of investment discipline, compliance track record, tenure, and assets under management. Advisors must also meet all Series 7, 63 and 65 (or 66) registration requirements.
Once accepted into the Portfolio Management qualification process, advisors undergo an intense course of study including but not limited to the following topics:
- Capital Market Theory and Asset Pricing Models
- Common Stock Valuation, Analysis and Strategy
- Economic, Sector and Industry Analysis
- Fixed Income Analysis, Valuation and Management
- Derivative Securities
- Evaluation of Investment Performance
Location
1650 Market St
42nd Fl
Philadelphia, PA 19103
US
Direct:
(215) 963-3804(215) 963-3804
Meet My Team
Denise Poorman
Registered Client Services Associate
Phone:
(215) 963-3822(215) 963-3822
About Isaac Fendrick
Isaac is a Private Wealth Management Analyst at Morgan Stanley, working with ultra-high net worth families and family offices, Trusts, and Foundations. Prior to joining Morgan Stanley, Isaac worked at PGIM Investments as an Internal Wholesaler from July 2023 to April 2025. Isaac graduated from Indiana University’s Kelley School of Business in Bloomington with a major in Finance and extracurricular involvement in Kelley’s Global Sales Workshop.
Outside of work, Isaac is a diehard Philadelphia sports fan and Hoosier basketball enthusiast. In his free time, Isaac enjoys spending time with friends and family and is working on improving his golf game.
Outside of work, Isaac is a diehard Philadelphia sports fan and Hoosier basketball enthusiast. In his free time, Isaac enjoys spending time with friends and family and is working on improving his golf game.
About Denise Poorman
Denise is a Private Wealth Management Client Service Associate at Morgan Stanley, working with ultra-high net worth families and Family Offices, Trusts and Foundations. Denise has over 15 years of experience in the financial services industry including 10 years working as a client services associate at Goldman Sachs. Over the years, she has honed her skills in providing “white glove” client service and developing meaningful relationships with clients.
In her free time, Denise enjoys cooking and creating recipes and is a trained chef in the French culinary arts, earning a degree from The Restaurant School at Walnut Hill College. A lifelong animal lover, she is involved in animal rescue in her local community - David Smith adopted one of her rescues many years ago when they worked together at Goldman Sachs.
Licenses & Education:
Series 7 General Securities License
Series 63
Series 66
Bachelor of Science, Business Administration, Drexel University
In her free time, Denise enjoys cooking and creating recipes and is a trained chef in the French culinary arts, earning a degree from The Restaurant School at Walnut Hill College. A lifelong animal lover, she is involved in animal rescue in her local community - David Smith adopted one of her rescues many years ago when they worked together at Goldman Sachs.
Licenses & Education:
Series 7 General Securities License
Series 63
Series 66
Bachelor of Science, Business Administration, Drexel University
The Power of Partnerships
By partnering with experienced individuals across wealth disciplines, Morgan Stanley Financial Advisors can align specialized resources with your custom needs and deliver strategic guidance through the familiarity and trust of existing relationships
Lewis Harrison
Private Banker
Lauren Akers
Private Banker
Adrian Schwartz, CFP®
Financial Planning Director, Vice President
About Lewis Harrison
Lewis Harrison is a Private Banker serving Morgan Stanley Wealth Management offices in Pennsylvania.
Private Bankers partner with Financial Advisors to develop a specialized approach for managing clients’ cash flow, liquidity and financing needs, leveraging our comprehensive suite of cash management and lending solutions.
Lewis began his career in financial services in 2006 and joined Morgan Stanley in 2014 as an Associate Private Banker. Prior to joining the firm, he was an Internal Banking Specialist at the Bank of America/Merrill Lynch. He also served as an Investment Service Advisor with the Merrill Lynch Financial Advisory Center.
Lewis is a graduate of the University of Kansas, where he received a Bachelor of Science in Communications and Economics. While at the University of Kansas, Lewis played guard on the school’s basketball team which reached the Final Four in 2002. He lives in Fort Washington, Pennsylvania with his family. Outside of the office, Lewis supports all Kansas City sports teams, enjoys beach vacations, and spending time with family and friends.
Private Bankers partner with Financial Advisors to develop a specialized approach for managing clients’ cash flow, liquidity and financing needs, leveraging our comprehensive suite of cash management and lending solutions.
Lewis began his career in financial services in 2006 and joined Morgan Stanley in 2014 as an Associate Private Banker. Prior to joining the firm, he was an Internal Banking Specialist at the Bank of America/Merrill Lynch. He also served as an Investment Service Advisor with the Merrill Lynch Financial Advisory Center.
Lewis is a graduate of the University of Kansas, where he received a Bachelor of Science in Communications and Economics. While at the University of Kansas, Lewis played guard on the school’s basketball team which reached the Final Four in 2002. He lives in Fort Washington, Pennsylvania with his family. Outside of the office, Lewis supports all Kansas City sports teams, enjoys beach vacations, and spending time with family and friends.
NMLS#: 807981
About Lauren Akers
Lauren Akers is a Private Banker serving Morgan Stanley Wealth Management offices in Pennsylvania.
Private Bankers partner with Financial Advisors to develop a specialized approach for managing clients’ cash flow, liquidity and financing needs, leveraging our comprehensive suite of cash management and lending solutions.
Lauren began her career in financial services in 2011 and joined Morgan Stanley in 2013 with the Home Loans Division. Prior to joining the firm, she served as a Credit Analyst at PHH Mortgage.
Lauren is a graduate of Rider University, where she received a Bachelor of Science in Business Administration with a concentration in Finance. She and her family currently reside in Chesterfield, New Jersey.
Outside of the office, Lauren dedicates her time to her family and several volunteer activities. She also enjoys spending time with her 2 kitties, cooking, baking, reading, gardening, shopping, traveling, and going to the beach. Lauren remains active by exercising and participating in 5K runs.
Private Bankers partner with Financial Advisors to develop a specialized approach for managing clients’ cash flow, liquidity and financing needs, leveraging our comprehensive suite of cash management and lending solutions.
Lauren began her career in financial services in 2011 and joined Morgan Stanley in 2013 with the Home Loans Division. Prior to joining the firm, she served as a Credit Analyst at PHH Mortgage.
Lauren is a graduate of Rider University, where she received a Bachelor of Science in Business Administration with a concentration in Finance. She and her family currently reside in Chesterfield, New Jersey.
Outside of the office, Lauren dedicates her time to her family and several volunteer activities. She also enjoys spending time with her 2 kitties, cooking, baking, reading, gardening, shopping, traveling, and going to the beach. Lauren remains active by exercising and participating in 5K runs.
NMLS#: 1457897
About Adrian Schwartz
Adrian Schwartz is a Vice President and Financial Planning Director serving Morgan Stanley’s Wealth Management offices the Greater Philadelphia and Coastal New Jersey markets. He is responsible for helping Financial Advisors with their clients’ and prospects’ financial planning needs.
Adrian began his career in financial services in 2011 and joined Morgan Stanley in 2021. Prior to his current position, Adrian worked at TD Ameritrade in New York where he worked with some of the firm’s wealthiest clients in the region and managed two branches.
Adrian graduated from Rutgers Business School with an MBA and holds his CERTIFIED FINANCIAL PLANNER designation. Adrian lives in Manalapan, NJ with his wife and two young children. Outside of work, Adrian spends most of his time with his family. When the opportunity presents itself, he also enjoys playing guitar and golfing.
Adrian began his career in financial services in 2011 and joined Morgan Stanley in 2021. Prior to his current position, Adrian worked at TD Ameritrade in New York where he worked with some of the firm’s wealthiest clients in the region and managed two branches.
Adrian graduated from Rutgers Business School with an MBA and holds his CERTIFIED FINANCIAL PLANNER designation. Adrian lives in Manalapan, NJ with his wife and two young children. Outside of work, Adrian spends most of his time with his family. When the opportunity presents itself, he also enjoys playing guitar and golfing.
Private Bankers, Ultra High Net Worth ("UHNW") Specialists, PBG Market Managers, Lending Advisors, Mortgage Consultants, Regional Mortgage Specialist, Cash Management Specialists, Associate Private Bankers are employees of Morgan Stanley Private Bank, National Association.
Banking products and services are offered by Morgan Stanley Private Bank, National Association, Member FDIC.
Morgan Stanley Smith Barney LLC is a registered Broker/Dealer, Member SIPC, and not a bank. Where appropriate, Morgan Stanley Smith Barney LLC has entered into arrangements with banks and other third parties to assist in offering certain banking related products and services.
Investment, insurance and annuity products offered through Morgan Stanley Smith Barney LLC are: NOT FDIC INSURED | MAY LOSE VALUE | NOT BANK GUARANTEED | NOT A BANK DEPOSIT | NOT INSURED BY ANY FEDERAL GOVERNMENT AGENCY
Important information about your relationship with your Financial Advisor and Morgan Stanley Smith Barney LLC when using a Financial Planning tool. When your Financial Advisor prepares a Financial Plan, they will act in an investment advisory capacity for thirty (30) days after the delivery of your Financial Plan. To understand the differences between brokerage and advisory relationships, you should consult your Financial Advisor, or review our “Understanding Your Brokerage and Investment Advisory Relationships,” brochure available at https://www.morganstanley.com/wealth-relationshipwithms/pdfs/understandingyourrelationship.pdf.
You have sole responsibility for making all investment decisions with respect to the implementation of a Financial Plan. You may implement the Financial Plan at Morgan Stanley or at another firm. If you engage or have engaged Morgan Stanley, it will act as your broker, unless you ask it, in writing, to act as your investment adviser on any particular account.
Morgan Stanley offers a wide array of brokerage and advisory services to its clients, each of which may create a different type of relationship with different obligations to you. Please consult with your Financial Advisor to understand these differences.
Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors and Private Wealth Advisors do not provide tax or legal advice. Clients should consult their tax advisor for matters involving taxation and tax planning and their attorney for matters involving trust and estate planning, charitable giving, philanthropic planning and other legal matters.
Banking products and services are offered by Morgan Stanley Private Bank, National Association, Member FDIC.
Morgan Stanley Smith Barney LLC is a registered Broker/Dealer, Member SIPC, and not a bank. Where appropriate, Morgan Stanley Smith Barney LLC has entered into arrangements with banks and other third parties to assist in offering certain banking related products and services.
Investment, insurance and annuity products offered through Morgan Stanley Smith Barney LLC are: NOT FDIC INSURED | MAY LOSE VALUE | NOT BANK GUARANTEED | NOT A BANK DEPOSIT | NOT INSURED BY ANY FEDERAL GOVERNMENT AGENCY
Important information about your relationship with your Financial Advisor and Morgan Stanley Smith Barney LLC when using a Financial Planning tool. When your Financial Advisor prepares a Financial Plan, they will act in an investment advisory capacity for thirty (30) days after the delivery of your Financial Plan. To understand the differences between brokerage and advisory relationships, you should consult your Financial Advisor, or review our “Understanding Your Brokerage and Investment Advisory Relationships,” brochure available at https://www.morganstanley.com/wealth-relationshipwithms/pdfs/understandingyourrelationship.pdf.
You have sole responsibility for making all investment decisions with respect to the implementation of a Financial Plan. You may implement the Financial Plan at Morgan Stanley or at another firm. If you engage or have engaged Morgan Stanley, it will act as your broker, unless you ask it, in writing, to act as your investment adviser on any particular account.
Morgan Stanley offers a wide array of brokerage and advisory services to its clients, each of which may create a different type of relationship with different obligations to you. Please consult with your Financial Advisor to understand these differences.
Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors and Private Wealth Advisors do not provide tax or legal advice. Clients should consult their tax advisor for matters involving taxation and tax planning and their attorney for matters involving trust and estate planning, charitable giving, philanthropic planning and other legal matters.
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Making sure your philanthropic dollars are managed with the same high quality service as the rest of your wealth.
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Thought Leadership for our ultra high net worth clients, which contains thought-provoking articles, authored by leading experts from Morgan Stanley Family Office Resources.
Managing Significant Wealth
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Bringing you engaging stories and key insights surrounding the complexities associated with significant wealth, including:
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LISTEN | Passion Assets: Investing in Art
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We look forward to discussing your needs and goals, and the exceptional resources we can place at your disposal.
CFP Board owns the marks CFP®, CERTIFIED FINANCIAL PLANNER®, and CFP® (with plaque design) in the U.S., which it awards to individuals who successfully complete CFP Board's initial and ongoing certification requirements.
Morgan Stanley Smith Barney LLC does not accept appointments nor will it act as a trustee but it will provide access to trust services through an appropriate third-party corporate trustee.
Asset Allocation does not assure a profit or protect against loss in declining financial markets.
The securities/instruments, investments and investment strategies discussed on this website may not be suitable for all investors. The appropriateness of a particular investment or investment strategy will depend on an investor's individual circumstances and objectives. The views and opinions expressed on this website may not necessarily reflect those of Morgan Stanley Smith Barney LLC (“Morgan Stanley”). This website and its associated content are intended for U.S. residents only.
Morgan Stanley and its Private Wealth Advisors do not provide tax or legal advice. Visitors to this website should consult their tax advisor for matters involving taxation and tax planning and their attorney for matters involving trust and estate planning and other legal matters.
Morgan Stanley Private Wealth Advisers may only transact business in states where they are registered or excluded or exempted from registration. Transacting business, follow-up and individualized responses involving either effecting or attempting to effect transactions in securities, or the rendering of personalized investment advice for compensation, will not be made to persons in states where Morgan Stanley Private Wealth Advisers are not registered or excluded or exempt from registration.
For more information, please see the Morgan Stanley Smith Barney LLC Client Relationship Summary.
See the Financial Advisors Biographies for Registration and Licensing information.
CFP Board owns the marks CFP®, CERTIFIED FINANCIAL PLANNER®, and CFP® (with plaque design) in the U.S., which it awards to individuals who successfully complete CFP Board's initial and ongoing certification requirements.
Investment Management Consultants Association, Inc. owns the marks CIMA®, Certified Investment Management Analyst® (with graph element)®, and Certified Investment Management Analyst® .
Morgan Stanley Smith Barney LLC offers insurance products in conjunction with its licensed insurance agency affiliates.
Life insurance, disability income insurance, and long-term care insurance are offered through Morgan Stanley Smith Barney LLC's licensed insurance agency affiliates.
Lifestyle Advisory Services: Products and services are provided by third party service providers, not Morgan Stanley Smith Barney LLC (“Morgan Stanley”). Morgan Stanley may not receive a referral fee or have any input concerning such products or services. There may be additional service providers for comparative purposes. Please perform a thorough due diligence and make your own independent decision.
Private Bankers are employees of Morgan Stanley Private Bank, National Association.
Morgan Stanley Smith Barney LLC is a registered Broker/Dealer, Member SIPC, and not a bank. Where appropriate, Morgan Stanley Smith Barney LLC has entered into arrangements with banks and other third parties to assist in offering certain banking related products and services.
Investment, insurance and annuity products offered through Morgan Stanley Smith Barney LLC are: NOT FDIC INSURED | MAY LOSE VALUE | NOT BANK GUARANTEED | NOT A BANK DEPOSIT | NOT INSURED BY ANY FEDERAL GOVERNMENT AGENCY
Awards Disclosures | Morgan Stanley
Morgan Stanley Smith Barney LLC does not accept appointments nor will it act as a trustee but it will provide access to trust services through an appropriate third-party corporate trustee.
Asset Allocation does not assure a profit or protect against loss in declining financial markets.
The securities/instruments, investments and investment strategies discussed on this website may not be suitable for all investors. The appropriateness of a particular investment or investment strategy will depend on an investor's individual circumstances and objectives. The views and opinions expressed on this website may not necessarily reflect those of Morgan Stanley Smith Barney LLC (“Morgan Stanley”). This website and its associated content are intended for U.S. residents only.
Morgan Stanley and its Private Wealth Advisors do not provide tax or legal advice. Visitors to this website should consult their tax advisor for matters involving taxation and tax planning and their attorney for matters involving trust and estate planning and other legal matters.
Morgan Stanley Private Wealth Advisers may only transact business in states where they are registered or excluded or exempted from registration. Transacting business, follow-up and individualized responses involving either effecting or attempting to effect transactions in securities, or the rendering of personalized investment advice for compensation, will not be made to persons in states where Morgan Stanley Private Wealth Advisers are not registered or excluded or exempt from registration.
For more information, please see the Morgan Stanley Smith Barney LLC Client Relationship Summary.
See the Financial Advisors Biographies for Registration and Licensing information.
CFP Board owns the marks CFP®, CERTIFIED FINANCIAL PLANNER®, and CFP® (with plaque design) in the U.S., which it awards to individuals who successfully complete CFP Board's initial and ongoing certification requirements.
Investment Management Consultants Association, Inc. owns the marks CIMA®, Certified Investment Management Analyst® (with graph element)®, and Certified Investment Management Analyst® .
Morgan Stanley Smith Barney LLC offers insurance products in conjunction with its licensed insurance agency affiliates.
Life insurance, disability income insurance, and long-term care insurance are offered through Morgan Stanley Smith Barney LLC's licensed insurance agency affiliates.
Lifestyle Advisory Services: Products and services are provided by third party service providers, not Morgan Stanley Smith Barney LLC (“Morgan Stanley”). Morgan Stanley may not receive a referral fee or have any input concerning such products or services. There may be additional service providers for comparative purposes. Please perform a thorough due diligence and make your own independent decision.
Private Bankers are employees of Morgan Stanley Private Bank, National Association.
Morgan Stanley Smith Barney LLC is a registered Broker/Dealer, Member SIPC, and not a bank. Where appropriate, Morgan Stanley Smith Barney LLC has entered into arrangements with banks and other third parties to assist in offering certain banking related products and services.
Investment, insurance and annuity products offered through Morgan Stanley Smith Barney LLC are: NOT FDIC INSURED | MAY LOSE VALUE | NOT BANK GUARANTEED | NOT A BANK DEPOSIT | NOT INSURED BY ANY FEDERAL GOVERNMENT AGENCY
Awards Disclosures | Morgan Stanley
CRC 4237142 (02/2025)
