Vince Finley
PWM Registered CSA
Phone:
(610) 260-7491(610) 260-7491
Morgan Stanley Private Wealth Management
John Griffin, CFP®, CIMA®
Executive Director,
Financial Advisor,
Portfolio Management Director,
Alternative Investments Director,
Family Wealth Director,
Global Sports and Entertainment Director
Direct:
(610) 260-7485(610) 260-7485
Industry Award WinnerMy Mission Statement
We are passionate about guiding our clients – business owners, executives, women, athletes and entertainers, not-for-profits and private foundations – toward their unique definition of success.
With thoughtful advice and unrelenting advocacy, we leverage years of investment experience to help clients overcome complex financial challenges and have access to new opportunities.
We have built our practice on an industry leading service model and making sure we treat our clients as we would expect to be treated.
With thoughtful advice and unrelenting advocacy, we leverage years of investment experience to help clients overcome complex financial challenges and have access to new opportunities.
We have built our practice on an industry leading service model and making sure we treat our clients as we would expect to be treated.
My Story and Services
John Griffin is an Executive Director, Family Wealth Director, Portfolio Manager and Alternative Investments Director in the Private Wealth Management division of Morgan Stanley. John has worked with successful executives, business owners and entrepreneurs for over 25 years – assisting in the sale of a family business, raising capital, protecting assets, investing the proceeds of a transaction and structuring portfolios to preserve and grow family wealth as well as transfer legacy assets to the next generation or a philanthropic priority. John has enjoyed developing strong and lasting relationships with the heirs of family-owned businesses.
Each of John’s clients are unique- requiring a familiarity with complexity and specialization. Clients have benefitted from his tenured experiences trading municipal bonds for a Wall Street firm or leading the investment committee as a trustee of a large university endowment. John’s additional certifications and personal commitment to rigorous continuing education have been hallmarks of his career and impactful to his clients.
John has recently partnered with Robert V. Kyle and Wendy Masse, CIMA®, CDFA® to form the ThirtyFive/24 Wealth Management Group in an effort to enhance his services supporting Ultra-High Net-worth Individuals and families.
John is very active in Philadelphia based nonprofit organizations. He currently serves on the Board of Independence Blue Cross and Roman Catholic High School. He previously served on the board of St. Joseph’s University and the Philadelphia School Partnership. John graduated magna cum laude with a B.S. from St. Joseph’s University, an MBA from Drexel University and completed additional investment management studies at Yale University School of Management. He was previously the successful men’s head basketball coach of Siena College and St. Joseph’s University.
John believes very strongly in acting as an advocate for his clients. He started his career as a high school teacher and feels that his current work is an extension of his commitment of service to others. He believes in the empowerment of women, the education of the next generation and the importance of diversity and inclusion. He enjoys helping elite athletes become owners of their own businesses and consulting nonprofits on how to best use their endowments to have a meaningful social impact.
Each of John’s clients are unique- requiring a familiarity with complexity and specialization. Clients have benefitted from his tenured experiences trading municipal bonds for a Wall Street firm or leading the investment committee as a trustee of a large university endowment. John’s additional certifications and personal commitment to rigorous continuing education have been hallmarks of his career and impactful to his clients.
John has recently partnered with Robert V. Kyle and Wendy Masse, CIMA®, CDFA® to form the ThirtyFive/24 Wealth Management Group in an effort to enhance his services supporting Ultra-High Net-worth Individuals and families.
John is very active in Philadelphia based nonprofit organizations. He currently serves on the Board of Independence Blue Cross and Roman Catholic High School. He previously served on the board of St. Joseph’s University and the Philadelphia School Partnership. John graduated magna cum laude with a B.S. from St. Joseph’s University, an MBA from Drexel University and completed additional investment management studies at Yale University School of Management. He was previously the successful men’s head basketball coach of Siena College and St. Joseph’s University.
John believes very strongly in acting as an advocate for his clients. He started his career as a high school teacher and feels that his current work is an extension of his commitment of service to others. He believes in the empowerment of women, the education of the next generation and the importance of diversity and inclusion. He enjoys helping elite athletes become owners of their own businesses and consulting nonprofits on how to best use their endowments to have a meaningful social impact.
Capabilities
- Tax, Trust & Estate AdvisoryFootnote1
- Philanthropy Management
- Family Governance & Wealth Education
- Lifestyle Advisory ServicesFootnote2
- Tailored LendingFootnote3
- Corporate Services
- Asset AllocationFootnote4
- Investment Management
- Proprietary Investment Opportunities
- Pre-Liquidity Planning
- Comprehensive Wealth Planning
Securities Agent: WY, IN, NJ, PA, CO, VA, SC, MD, HI, NY, MA, IL, WA, OH, NV, NC, MI, DC, RI, GA, TX, CA, SD, DE, CT, IA, FL, OK, AZ, TN; General Securities Representative; Investment Advisor Representative
NMLS#: 821373
NMLS#: 821373
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.
Our Clients
At Morgan Stanley, we believe that identifying financial solutions begins with a solid understanding of each client's situation, goals, needs, and risk tolerance. We follow a disciplined approach that allows us to work with you to craft a solution that helps meet your individual financial needs.
- Finding the appropriate investment bank and buyer
- Create the most tax efficient plan in advance of a potential sale
- Evaluate the various options for generating liquidity
- Consider all relevant non-financial issues prior to transaction
- Determining the best strategy for the sale of company stock (i.e., 10b5-1 plans) and various types of stock options
- Diversify concentrated positions in company stock in the most efficient manner (i.e. Exchange Funds)
- Managing the risk of a concentrated position using a protective put or an option collar strategy.
- Create an LLC
- Identify an accountant, lawyer
- Evaluate the appropriate agent for marketing and contract negotiations
- Assist with NIL (Name, Image and Likeness) opportunities
- Develop a strategy for charitable giving and philanthropy
- Begin a lifetime learning process of financial literacy for the athlete and other family members
- Extensive discovery regarding risk tolerance and cash flow analysis
- Provide rigorous oversight using 3rd monitoring of client portfolios to ensure compliance with Investment Policies
- Develop a repeatable and transparent investment process
- Share best practices with management and board members
- Establish a goal tailored investment plan for growth and legcay planning
- Identify effcient proceses for accouting, reporting, billing and cash management
- Implementation of a customized wealth, holitic wealth management plan
- Integrate lifestyle planning
Business Owners
The GOAL is to help the Business Owner develop the best strategy for monetizing a private business – considering, price, timing, taxes and reinvestment opportunities.
We help Business Owners with:
Executives
The GOAL is to help executives make the most optimal decision from a tax and risk perspective regarding the management of company stock, options and other forms of executive compensation.
We help Executives with:
Athletes
Goal is EMPOWERMENT…we want athletes to successfully build and grow their own business to provide a lifetime income for themselves and their family as well to have the opportunity to give back to their community.
We help elite athletes:
Institutions
The GOAL is to help institutions, especially "not for profits", build an investment portfolio that serves the entity's mission. We help create a process of good governance, assist with the construction of an investment policy statement and a relevant spending policy.
We help not for profits with:
Single Family Office
The Goal is to deliver the extensive range of capabilities required involving a series of critical structuring, staffing and strategic measures to single family offices, that are aligned with a family's mission. We can help provide you with the resources to help preserve your wealth across generations and leave an enduring legacy.
Forbes 2024 & 2025 Best-In-State Wealth Advisors
2024 & 2025 Forbes Best-In- State Wealth Advisors
Source: Forbes.com (Awarded 2024, 2025). Data compiled by SHOOK Research LLC based 12-month time period concluding in June of year prior to the issuance of the award.
Source: Forbes.com (Awarded 2024, 2025). Data compiled by SHOOK Research LLC based 12-month time period concluding in June of year prior to the issuance of the award.
CERTIFIED FINANCIAL PLANNER™ (CFP®)
CERTIFIED FINANCIAL PLANNER™ certification is the standard of excellence in financial planning. CFP® professionals meet rigorous education, training and ethical standards, and are committed to serving their clients' best interests today to prepare them for a more secure tomorrow.
Global Sports and Entertainment Director
A division of Morgan Stanley Wealth Management dedicated to serving the unique and sophisticated needs of professional athletes and entertainers.
John Griffin Receives Global Sports & Entertainment Director Designation
Certified Investment Management Analysis (CIMA®)
Certified Investment Management Analysis (CIMA®) is sponsored by the Investment & Wealth Institute. It is the premier designation in the industry and provides an intense educational experience focusing on asset allocation, manager search and selection, investment policy and performance measurement.
FWD - Family Wealth Director
The Family Wealth Director designation within Morgan Stanley is awarded to a highly trained group of select Financial Advisors serving an elite clientele facing more complex wealth management challenges. Family Wealth Directors within Morgan Stanly have extensive experience, specialized training and the resources to address planning for ultra-high net worth families in the areas of wealth transfer, business succession planning, asset protection, family governance and wealth education.
Valuable Tools and Resources:
PWM Client Experiences Video
Watch Here
Pre-Liquidity Planning
Liquidity events such as an initial public offering or a
merger or acquisition may provide income and estate
planning opportunities. Liquidity events also magnify the
need to put in place or update certain essential estate
planning documents.
Pre-Liquidity Planningmerger or acquisition may provide income and estate
planning opportunities. Liquidity events also magnify the
need to put in place or update certain essential estate
planning documents.
Corporate Executive Capabilities and Considerations
The commitments you make to your customers, colleagues and shareholders may leave little time to address your personal finances. Focused on the needs of prominent executives and their families, our team offers the experienced perspective and specialized resources needed to create and implement tailored solutions.
Corporate Executive Capabilities and Considerations
The Entrepreneur Brochure
As an entrepreneur, you have devoted your career to building your enterprise. Now, it is time to plan for what comes next: enjoying the substantial rewards of your success, spending more time with your family and pursuing new challenges.
Learn More
Single Family Office Capabilities and Considerations Placemat
Building an effective Single Family Office that is aligned with a family's mission and delivers the extensive rang of capabilities required involves a series of critical structuring, staffing and strategic measures. Learn more about how we can utilize our full range of capabilities to address every aspect of your personal and professional financial life
Learn More
Elite Athletes & Entertainers
We focus on providing elite athletes with very specific services and advice.
Please listen to our highly tailored and proven approach.
Click here to watch the videoPlease listen to our highly tailored and proven approach.
The "Essential NIL Dictionary"
Through NIL rules, college and high school athletes now have the ability to monetize their NIL and personal brands. The "Essential NIL Dictionary" from Money in the Making is a guide to help young and emerging athletes decode the unique and complex language of NIL deals.
Learn More
Access & Opportunity Podcast: Closing the Women’s Sports Pay Gap
Check out the Access & Opportunity Podcast to hear about how Seattle Storm forward and WNBA Players Association President Nneka Ogwumike is banding together fellow players to fight for equity and how venture capitalist Kara Nortman, owner of Angel City FC, a women-owned soccer franchise that is raising the bar for investment across the league.
Listen Here
Morgan Stanley Global Sports & Entertainment Celebrates 10 Years
Morgan Stanley Global Sports & Entertainment is celebrating 10 years! Our mission remains to support, educate and empower our clients and the greater sports and entertainment community. As the industry evolves, along with your goals and needs, so will we.
Learn MoreLocation
100 Front St
Ste 600
West Conshohocken, PA 19428
US
Direct:
(610) 260-7485(610) 260-7485
Meet My Team
Susan Dudek
Portfolio Associate
Phone:
(610) 260-7495(610) 260-7495
About Vince Finley
As a Private Wealth Management Registered Client Service Associate, Vince is responsible for completing the day-to-day client requests and reporting. In addition, Vince assists with investment due diligence, portfolio construction, and marketing.
Prior to Morgan Stanley Private Wealth Management, Vince worked at Allegis Group as a Treasury Associate. Vince graduated summa cum laude from Loyola University Maryland’s Sellinger School of Business with a BBA in finance. He was a member of the Selinger Scholars Business Honors Program and President of the Investment Club.
Vince currently resides in Philadelphia. In his free time, he enjoys golfing and attending car shows.
Prior to Morgan Stanley Private Wealth Management, Vince worked at Allegis Group as a Treasury Associate. Vince graduated summa cum laude from Loyola University Maryland’s Sellinger School of Business with a BBA in finance. He was a member of the Selinger Scholars Business Honors Program and President of the Investment Club.
Vince currently resides in Philadelphia. In his free time, he enjoys golfing and attending car shows.
Awards and Recognition
Forbes Best-In-State Wealth Advisors
2024-2025 Forbes Best-In- State Wealth Advisors Source: Forbes.com (Awarded 2024-2025). Data compiled by SHOOK Research LLC based 12-month time period concluding in June of year prior to the issuance of the award.
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
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
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
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
Wealth Management
Global Investment Office
Portfolio Insights
This is a video content
Private Wealth Management Podcast
Bringing you engaging stories and key insights surrounding the complexities associated with significant wealth, including:
- Intergenerational Planning
- Philanthropic Giving
- Non-Traditional Assets
- Managing Family Wealth
LISTEN | Passion Assets: Investing in Art
Article Image
Insights and Outcomes
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
- Investment Management
- Wealth Transfer & Philanthropy
- Cash Management & Lending
- Family Governance & Wealth Education
- Lifestyle Advisory
- Business Services
Wealth Management for Athletes and Entertainers
Understanding the unique financial challenges of athletes and entertainers and how they differ from one profession to the next, we deliver the experience and resources you need to help create and implement a comprehensive, multigenerational wealth management plan based on your needs, values and aspirations.
- Investment Management
- Wealth Transfer & Philanthropy
- Private Banking Solutions
- Family Governance & Wealth Education
- Lifestyle Advisory
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.
1Morgan Stanley Smith Barney LLC and its affiliates and their employees (including Financial Advisors and Private Wealth Advisors) are not in the business of providing tax or legal advice. These materials and any statements contained herein should not be construed as tax or legal advice. Individuals should consult their personal tax advisor or attorney for matters involving taxation and tax planning and their attorney for matters involving personal trusts and estate planning.
For more information, please see the Morgan Stanley Smith Barney LLC Client Relationship Summary.
2Morgan Stanley Smith Barney LLC (the “Firm”) and its affiliates do not currently offer the services provided by this Service Provider(s). The Service Provider(s) is not an affiliate of the Firm. Any review of the Service Provider(s) performed by the Firm was based on information from sources that we believe are reliable but we cannot guarantee its accuracy or completeness. This referral should in no way be considered to be a solicitation by the Firm for business on behalf of the Service Provider(s). The Firm makes no representations regarding the appropriate or otherwise of the products or services provided by the Service Provider(s). There may be additional service providers for comparative purposes. If you choose to contact the Service Provider(s), do thorough due diligence, and make your own independent decision.
3Tailored Lending is a loan/line of credit product offered by Morgan Stanley Private Bank, National Association, an affiliate of Morgan Stanley Smith Barney LLC. A Tailored Lending credit facility may be a committed or demand loan/line of credit. All Tailored Lending loans/lines of credit are subject to the underwriting standards and independent approval of Morgan Stanley Private Bank, National Association. Tailored Lending loans/lines of credit may not be available in all locations. Rates, terms, and programs are subject to change without notice. Other restrictions may apply. The information contained herein should not be construed as a commitment to lend. Morgan Stanley Private Bank, National Association is a Member FDIC that is primarily regulated by the Office of the Comptroller of the Currency. The proceeds from a Tailored Lending loan/line of credit (including draws and other advances) may not be used to purchase, trade, or carry margin stock; repay margin debt that was used to purchase, trade, or carry margin stock; and cannot be deposited into a Morgan Stanley Smith Barney LLC or other brokerage account.
4Asset Allocation does not assure a profit or protect against loss in declining financial markets.
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
1Morgan Stanley Smith Barney LLC and its affiliates and their employees (including Financial Advisors and Private Wealth Advisors) are not in the business of providing tax or legal advice. These materials and any statements contained herein should not be construed as tax or legal advice. Individuals should consult their personal tax advisor or attorney for matters involving taxation and tax planning and their attorney for matters involving personal trusts and estate planning.
For more information, please see the Morgan Stanley Smith Barney LLC Client Relationship Summary.
2Morgan Stanley Smith Barney LLC (the “Firm”) and its affiliates do not currently offer the services provided by this Service Provider(s). The Service Provider(s) is not an affiliate of the Firm. Any review of the Service Provider(s) performed by the Firm was based on information from sources that we believe are reliable but we cannot guarantee its accuracy or completeness. This referral should in no way be considered to be a solicitation by the Firm for business on behalf of the Service Provider(s). The Firm makes no representations regarding the appropriate or otherwise of the products or services provided by the Service Provider(s). There may be additional service providers for comparative purposes. If you choose to contact the Service Provider(s), do thorough due diligence, and make your own independent decision.
3Tailored Lending is a loan/line of credit product offered by Morgan Stanley Private Bank, National Association, an affiliate of Morgan Stanley Smith Barney LLC. A Tailored Lending credit facility may be a committed or demand loan/line of credit. All Tailored Lending loans/lines of credit are subject to the underwriting standards and independent approval of Morgan Stanley Private Bank, National Association. Tailored Lending loans/lines of credit may not be available in all locations. Rates, terms, and programs are subject to change without notice. Other restrictions may apply. The information contained herein should not be construed as a commitment to lend. Morgan Stanley Private Bank, National Association is a Member FDIC that is primarily regulated by the Office of the Comptroller of the Currency. The proceeds from a Tailored Lending loan/line of credit (including draws and other advances) may not be used to purchase, trade, or carry margin stock; repay margin debt that was used to purchase, trade, or carry margin stock; and cannot be deposited into a Morgan Stanley Smith Barney LLC or other brokerage account.
4Asset Allocation does not assure a profit or protect against loss in declining financial markets.
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
CRC 4237142 (02/2025)
