About Us

Services Include
  • Lending Products
  • Life Insurance1
  • Long Term Care Insurance2
  • Municipal Bonds3
  • Trust Services*
  • Alternative Investments4
  • Cash Management5
  • Corporate Bonds6
  • Corporate Retirement Plans7
  • Endowments and Foundations8
  • Professional Portfolio Management9
  • Retirement Planning10
  • Estate Planning Strategies11
  • Financial Planning12
  • Fixed Income13
Securities Agent: TX, RI, WI, WA, VT, VA, UT, SD, SC, PR, OH, NY, NV, NM, NH, NE, ND, NC, MS, MN, ME, MD, MA, IN, IL, ID, HI, GA, FL, CT, CO, CA, AZ, AR; General Securities Representative; BM/Supervisor; Investment Advisor Representative
NMLS#: 1279577
Check the background of Our Firm and Investment Professionals on FINRA's BrokerCheck.*

Working With You

I utilize a 4 step wealth planning process to help my clients achieve their financial goals.

1) Discovery:   I begin by discussing what matters most to you, what you hope to achieve in your financial life, and where you currently stand on the journey to your goals.

2) Analysis:  I analyze your personal and financial information, assess risk, design and then test solutions tailored to your needs.  Morgan Stanley's many resources, as well as your legal and tax advisors, are often central to this process.

3) Implementation: After presenting you with our proposals, we objectively work to implement these solutions in an efficient and prudent manner.

4) Review: The best financial plans grow and evolve with each client's unique and changing life story.  I work to continually review and update your plan as dictated by changes in your circumstances and goals.

    Education

    • Boston College, BS 1988, Finance

    Client Service Team

    • Diane Stone - Senior Registered Associate
    • Jessica Corriander - Client Service Associate

    Location

    284 Bellevue Ave
    Newport, RI 02840
    US
    Direct:
    (401) 845-3538(401) 845-3538
    Toll-Free:
    (800) 556-7008(800) 556-7008
    Fax:
    (401) 845-3550(401) 845-3550
    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
    Investing in Artificial Intelligence and Automation

    Investing in Artificial Intelligence and Automation

    AI is an exciting growth area, but the investing opportunities are not always obvious. Here’s how to integrate this theme into your portfolio.

    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
    A Parent's Guide to Talking to Your Kids About Money

    A Parent's Guide to Talking to Your Kids About Money

    Raising kids to be smart about money requires creating an environment where they are neither insecure, nor overconfident about family finances.

    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
    Facing Financial Stress? Your Employer May Be Able to Help

    Facing Financial Stress? Your Employer May Be Able to Help

    Many of us face money worries. You may be able to get advice and education from an unexpected source.

    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
    Choosing an Environmental Charity

    Choosing an Environmental Charity

    There are a multitude of non-profits dedicated to helping protect the environment. Here’s how to choose where you want to give.

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    Morgan Stanley and Justin Rose: A Winning Team

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    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
    Reserved | Living & Giving

    Reserved | Living & Giving

    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.
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    Your Financial World. On the Go.

    Your Financial World. On the Go.

    With the Morgan Stanley Mobile App, you’ll have the freedom to manage your investments and instantly access a suite of personal cash management tools.
    Learn more about Your Financial World. On the Go.
    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.
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    Ready to start a conversation? Contact Michael Keating today.
    Market Information Delayed 20 Minutes
    1Insurance products are offered in conjunction with Morgan Stanley Smith Barney LLC’s licensed insurance agency affiliates.

    2Insurance products are offered in conjunction with Morgan Stanley Smith Barney LLC’s licensed insurance agency affiliates.

    3Income generated from an investment in a municipal bond is generally exempt from federal income taxes. Some income may be subject to state and local taxes and to the federal alternative minimum tax. Capital gains, if any, are subject to tax.

    4Alternative 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.

    5Morgan 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

    6Fixed Income investing entails credit risks and interest rate risks. When interest rates rise, bond prices generally fall.

    7Tax 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.

    8Morgan 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.

    9Morgan Stanley’s investment advisory programs may require a minimum asset level and, depending on your specific investment objectives and financial position, may not be suitable for you. Please see the Morgan Stanley Smith Barney LLC program disclosure brochure (the “Morgan Stanley ADV”) for more information in the investment advisory programs available. The Morgan Stanley ADV is available at www.morganstanley.com/ADV.

    10Morgan 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.

    11Morgan 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.

    12Morgan 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.

    13Fixed Income investing entails credit risks and interest rate risks. When interest rates rise, bond prices generally fall.

    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.


    CRC 2019752 10/2018