About Us

1995 - Present: Morgan Stanley

The Morris Group is a High Net Worth team offering a number of investment strategies that stress capital preservation first, growth second.

Just like seat belts must be securely fastened before the accident, we believe in having our clients’ wealth management “seat belts” securely fastened before times of market unrest.

We feel a responsibility to our clients, who have often been with us for generations, to provide choices rather than cookie-cutter solutions that don’t always match up to their goals.

Our primary investment platform is a fee-based model where we work with our clients to reach their objectives. We also offer experience in individual equities, fixed income (particularly tax-free investments), insurance strategies, and structured products for those interested in growth coupled with preservation of principle. We also offer our clients access to banking and lending services. Each of these solutions comes with a complete financial planning component.

The hallmarks of our investment process are understanding, education, accessibility, service, and a commitment to leveraging the very best investment tools and resources of our global firm.
Services Include
  • 529 Plans1
  • Alternative Investments2
  • Annuities3
  • Asset Management4
  • Business Planning5
  • Business Succession Planning6
  • Cash Management7
  • Certificates of Deposit8
  • Corporate Retirement Plans9
  • Estate Planning Strategies10
  • Financial Planning11
  • Lending Products
  • Qualified Retirement Plans12
  • Retirement Planning13
  • Trust Services*
Securities Agent: TX, CA, WA, UT, TN, SC, RI, PA, OR, NY, NV, NM, NJ, NC, MO, MN, MI, MD, MA, KS, IL, ID, HI, GA, FL, DE, CO, AZ, AL; Managed Futures; General Securities Representative; Investment Advisor Representative
NMLS#: 1368459
CA Insurance License #: 0B53556
Check the background of Our Firm and Investment Professionals on FINRA's BrokerCheck.*

Education

  • Bachelor of Science- Agriculture Business, 1994 - California Polytechnic State University, San Luis Obispo, CA

Experience

Bachelor of Science- Agriculture Business, 1994 - California Polytechnic State University, San Luis Obispo, CA

Series 7 - NYSE/NASD General Securities Registered Representative

Series 6 - Investment Company Products/Variable Contract Limited Representative

Series 63 - Uniform Securities Agent law

Series 31 - Futures Managed Funds

California Insurance License #0B53556- Accident & Health, Life & Variable Contracts

    Client Service Team

    • Monique A. Morris - Portfolio Associate
      (818) 409-0739
      monique.a.morris@morganstanley.com 


      Professional Details


      1988 - Present: Morgan Stanley- Pasadena, CA
      Associate in Arts, 1995 - Pasadena City College
      Series 7 - NYSE/NASD General Securities Registered Representative
      Series 63 - Uniform Securities Agent law
      Series 31 - Futures Managed Funds
      California Insurance License - Accident & Health, Life & Variable Contracts
      Monique Morris holds the following registrations: Securities Agent:  AK, AZ, CA, CO, DC, DE, GA, ID, IL, MN, MT, NJ, NM, NV, OR, PA, TX, WA; General Securities Representative; Investment Advisorship: AK, AZ, CA, CO, DC, DE, GA, ID, IL, MN, MT, NJ, NM, NV, NY, OR, PA, TX, WA; Managed Futures
      CA Insurance License #0B947141
      CA Insurance License #: 094741
    • Lina Fong - Senior Registered Associate
      (626) 405-9345
      lina.fong@morganstanley.com

      Professional Details


      2007 - Present: Morgan Stanley- Pasadena, CA
      Bachelor of Science degree in Organizational Communication – Eastern Michigan University
      Series 7 - NYSE/NASD General Securities Registered Representative
      Series 66 - Uniform Combined State Law
      Lina Fong holds the following registrations: Securities Agent: AK, AL, AZ, CA, CO, DC, DE, FL, GA, HI, ID, IL, KS, MD, MI, MN, MO, NC, NJ, NM, NV, NY, OH, OR, PA, RI, SC, TN, TX, UT, WA

    Location

    55 South Lake Ave
    Ste 700
    Pasadena, CA 91101
    US
    Direct:
    (818) 409-0731(818) 409-0731
    Toll-Free:
    (800) 488-1240(800) 488-1240
    Fax:
    (818) 748-9214(818) 748-9214
    Investment and Market Perspectives

    On the Markets

    Retirement

    Working with you to understand your life goals and develop a personalized wealth strategy. Today and for the years to come.
    • 401(k) Rollovers
    • IRA Plans
    • Retirement Income Strategies
    • Retirement Plan Participants
    • Annuities
    The Simple Six-Step Retirement Checkup

    The Simple Six-Step Retirement Checkup

    Given market volatility in 2018, checking in on your retirement plan may be one of the wisest New Year’s resolutions you can make.

    Investing

    Working closely with you to guide your wealth and investments through the most challenging market cycles.
    • Asset Management
    • Wealth Planning
    • Traditional Investments
    • Alternative Investments
    • Impact Investing
    Five Smart Strategies to Use a Bonus or Raise

    Five Smart Strategies to Use a Bonus or Raise

    Have extra money coming in? Here are ways to put your money to work for you now, so you can reap the rewards down the road.

    Family

    Creating customized financial strategies for the challenges that today's families face.
    • Estate Planning Strategies
    • 529 Plans / Education Savings Planning
    • Long Term Care Insurance
    • Special Needs Planning
    • Trust Services
    Financial Transition: A Guide for Women

    Financial Transition: A Guide for Women

    Here's how to take control of your finances if a death or divorce leaves you holding the reins.

    Business Planning

    Helping you on key aspects of your business such as ownership, liquidity and developing opportunities.
    • Succession Planning
    • Business Planning
    • Retirement Plan Sponsors
    • Qualified Retirement Plans
    • Corporate Pension Funds
    6 Keys to Building a Startup

    6 Keys to Building a Startup

    Entrepreneurs share ideas and learnings from the experience of starting a company.

    Philanthropy

    Making sure your philanthropic dollars are managed with the same high quality service as the rest of your wealth.
    • Endowments
    • Foundations
    • Donor Advised Funds
    • Impact Investing
    A New Roadmap for Mission Alignment

    A New Roadmap for Mission Alignment

    Non-profits, foundations and endowments need to ensure that their sources of capital are in sync with their stated goals.

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    Reserved | Living & Giving

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    Our complimentary program for eligible clients provides you and your family with access to exclusive offers and discounts from premium travel, automotive, health and wellness, and retail brands as well as curated insights from Morgan Stanley.
    Learn more about Reserved | Living & Giving
    Sign Up for eDelivery

    Sign Up for eDelivery

    With eDelivery, you’ll have easy access to statements, trade confirmations, general correspondence and much more.
    Learn more about Sign Up for eDelivery
    Access Morgan Stanley Online

    Access Morgan Stanley Online

    Morgan Stanley Online provides a comprehensive view of your assets and liabilities, projected income, breaking news, research and much more.
    Learn more about Access Morgan Stanley Online
    Ready to start a conversation? Contact The Morris Group today.
    Market Information Delayed 20 Minutes
    1Investors should consider many factors before deciding which 529 plan is appropriate. Some of these factors include: the Plan’s investment options and the historical investment performance of these options, the Plan’s flexibility and features, the reputation and expertise of the Plan’s investment manager, Plan contribution limits and the federal and state tax benefits associated with an investment in the Plan. Some states, for example, offer favorable tax treatment and other benefits to their residents only if they invest in the state’s own Qualified Tuition Program. Investors should determine their home state’s tax treatment of 529 plans when considering whether to choose an in-state or out-of-state plan. Investors should consult with their tax or legal advisor before investing in any 529 Plan or contact their state tax division for more information. Morgan Stanley Smith Barney LLC does not provide tax and/or legal advice. Investors should review a Program Disclosure Statement, which contains more information on investment options, risk factors, fees and expenses and possible tax consequences.

    2Alternative Investments are speculative and include a high degree of risk. An investor could lose all or a substantial amount of his/her investment. Alternative investments are suitable only for qualified, long-term investors who are willing to forgo liquidity and put capital at risk for an indefinite period of time.

    3Annuities are offered in conjunction with Morgan Stanley Smith Barney LLC’s licensed insurance agency affiliates.

    4Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors or 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 legal matters.

    5Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors or 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 legal matters.

    6Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors or 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 legal matters.

    7Morgan 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

    8CDs are insured by the FDIC, an independent agency of the U.S. Government, up to a maximum of $250,000 (including principal and accrued interest) for all deposits held in the same insurable capacity (e.g. individual account, joint account, IRA etc.) per CD depository. Investors are responsible for monitoring the total amount held with each CD depository. All deposits at a single depository held in the same insurable capacity will be aggregated for the purposes of the applicable FDIC insurance limit, including deposits (such as bank accounts) maintained directly with the depository and CDs of the depository.

    9Tax laws are complex and subject to change. 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 and are not “fiduciaries” (under ERISA, the Internal Revenue Code or otherwise) with respect to the services or activities described herein except as otherwise provided in writing by Morgan Stanley and/or as described at www.morganstanley.com/disclosures/dol . Individuals are encouraged to consult their tax and legal advisors (a) before establishing a retirement plan or account, and (b) regarding any potential tax, ERISA and related consequences of any investments made under such plan or account.

    10Morgan 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 and other legal matters.

    11Morgan 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.

    12Tax laws are complex and subject to change. 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 and are not “fiduciaries” (under ERISA, the Internal Revenue Code or otherwise) with respect to the services or activities described herein except as otherwise provided in writing by Morgan Stanley and/or as described at www.morganstanley.com/disclosures/dol . Individuals are encouraged to consult their tax and legal advisors (a) before establishing a retirement plan or account, and (b) regarding any potential tax, ERISA and related consequences of any investments made under such plan or account.

    13Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors or 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 legal matters.

    The information, products and services described here are intended only for individuals residing in states where this Financial Advisor is properly registered as described in this site.

    Morgan Stanley reserves the right, to the extent permitted under applicable law, to retain and monitor all electronic communications. Morgan Stanley will not accept purchase or sale orders via any Internet site, social media site and/or its messaging systems. Morgan Stanley does not endorse and is not responsible and assumes no liability for content, products or services posted by third-parties on any Internet site, social media site and/or its messaging systems. All electronic communications are subject to terms available at the following link: https://www.morganstanley.com/disclaimers/mswm-email.html. Any profiles and associated content are for U.S. residents only.

    The securities/instruments, services, investments and investment strategies discussed in this material may not be suitable for all investors. The appropriateness of a particular investment, investment strategy or service will depend on an investor's individual circumstances and objectives. Morgan Stanley Smith Barney LLC recommends that investors independently evaluate particular investments, strategies and services, and encourages investors to seek the advice of a Financial Advisor or Private Wealth Advisor. This material does not provide individually tailored investment advice. It has been prepared without regard to the individual financial circumstances and objectives of persons who receive it.

    Morgan Stanley Smith Barney LLC (“Morgan Stanley”) is not implying an affiliation, sponsorship, endorsement with/of the third party or that any monitoring is being done by Morgan Stanley of any information contained within the website. Morgan Stanley is not responsible for the information contained on the third party website or the use of or inability to use such site. Nor do we guarantee their accuracy or completeness.

    The views, opinions or advice contained within third party websites or materials are solely those of the author, who is not a Morgan Stanley employee, and do not necessarily reflect those of Morgan Stanley Smith Barney LLC, or its affiliates. The strategies and/or investments referenced may not be appropriate for all investors as the appropriateness of a particular investment or strategy will depend on an investor's individual circumstances and objectives.

    *References to length of service at Morgan Stanley include years at Morgan Stanley and predecessor firms.


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