Welcome

My professional and personal goal has been to provide my clients with the highest quality of investment management services. The core of my practice is to tailor each client’s portfolio for that individual and modify it so that it evolves throughout every stage of the client’s life.

One of the most important aspects of my investment practice is building long-term client relationships. Frequent communications with clients help me understand their lives and assist me in defining their financial goals.

In addition to close client/Advisor relationships, I analyze financial trends, study various types of assets and make investment judgments in order to provide each client with knowledgeable advice and a portfolio is tailored to his or her level of risk. To accomplish this, for each portfolio, I select a blend of assets that has no or low correlation with one another. I monitor each portfolio and adjust it if market conditions or a client’s life circumstances require a change.

Morgan Stanley provides me with a variety of excellent research tools and information, which I share with my clients. Maintaining this open flow of communication enables me to help clients become more comfortable about their own futures and empowers them to create a heritage that they can pass on to future generations.
Services Include
  • Wealth Consulting
  • Wealth Management1
  • 401(k) Rollovers
  • Asset Management2
  • Business Planning3
  • Corporate Retirement Plans4
  • Divorce Financial Analysis5
  • Estate Planning Strategies6
  • Exchange Traded Funds7
  • Financial Planning8
  • Fixed Income9
  • Institutional Services
  • Life Insurance10
  • Municipal Bonds11
  • Philanthropic Services
  • Planning for Education Funding12
  • Professional Portfolio Management13
  • Retirement Planning14
  • Trust Services*
Securities Agent: TX, NJ, WY, WA, VT, VA, SC, RI, PA, OH, NY, NM, NH, MA, HI, GA, FL, CT, CA, AZ; General Securities Representative; Investment Advisor Representative
NMLS#: 1387997
Check the background of Our Firm and Investment Professionals on FINRA's BrokerCheck.*

What are your hopes and dreams?

Our approach to wealth planning focuses on what is most meaningful to you.

Whether meeting with you for the first time or reviewing your progress and life goals, this is our priority.

Leveraging our vast resources—including intellectual capital, experience and dedicated personal service—we can work with you to create a personalized wealth strategy. Our 4 step approach to Wealth Management is formal yet flexible. Over time, we can adapt it to changing circumstances, helping you to achieve—and to protect—your goals

DISCOVER
Our relationship begins with a thorough understanding of you – your needs, your lifestyle and family, and your goals for the future.

CREATE
I work with you to develop a roadmap to help you achieve and protect the outcomes you envision.

ACT
Next, I can help you implement investment, retirement, trust services, lending, cash management and insurance solutions suited to your needs.

ADJUST
Achieving your goals requires vigilance and flexibility. I’ll help you monitor your progress and make adjustments as life evolves, markets and tax laws shift, and priorities change.
    Neil Stern is a First Vice President at Morgan Stanley. He joined Morgan Stanley in 2014.

    Previously, Neil was a Portfolio Manager at Oppenheimer and before that he worked at investment bank Laidlaw & Co. Inc., at which he began his financial career in 1996.

    Before entering the financial services industry, Neil was an entrepreneur who created and managed – along or with a strategic partner – companies in the paper, drywall, supplies, plumbing, and real estate management industries. His understanding of the intricacies of creating and managing a business has given him deep insight into what makes companies in different industries successful, as well as the requirements of business owners and/or shareholders.

    Neil holds the General Securities Representative License (Series 7), the Uniform Investment Adviser Law Exam (Series 65) and the General Securities Principal License (Series 24). He earned a Bachelor’s degree in Economics and a minor in Psychology from Queen’s College. He currently lives in Westchester, New York with his wife and two children.

    Awards: 2017 Five Star Professional Wealth Manager Award

      Your Goals and Concerns Change as Life Changes

      Your Goals and Concerns Change as Life Changes 

      Early-to-Mid Career                                      
      Concerns:
      Accumulating Assets
      Protecting Family

      Late Career
      Concerns:
      Retirement Readiness
      Transforming assets into income
      Generating sufficient income to last your entire life
      Asset preservation
      Legacy wishes

      In Retirement          
      Concerns:
      Maintaining lifestyle and sufficient income
      Meeting healthcare and other unforeseen expenses
      Legacy wishes

        Client Service Team

        • Hollie Katz - Senior Registered Associate

        Location

        1290 Avenue Of The Americas
        Fl 13
        New York, NY 10104
        US
        Direct:
        (212) 492-6937(212) 492-6937
        Fax:
        (212) 492-6352(212) 492-6352
        From My Desk

        Global Investment Committee Weekly


        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
        From Clueless to Clued In: Teaching Teens About Money

        From Clueless to Clued In: Teaching Teens About Money

        As your children grow into young adults, you can help them learn how to manage their own finances. Here’s how to go about it.

        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.

        More from Morgan Stanley

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        Learn more about OUTSMART VOLATILITY IN A MORGAN STANLEY MINUTE
        Morgan Stanley and Justin Rose: A Winning Team

        Morgan Stanley and Justin Rose: A Winning Team

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        Learn more about Morgan Stanley and Justin Rose: A Winning Team
        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.
        Learn more about Reserved | Living & Giving
        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.
        Learn more about Access Morgan Stanley Online
        Ready to start a conversation? Contact Neil Stern today.
        Market Information Delayed 20 Minutes
        1Morgan 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.

        2Morgan 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.

        3Morgan 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.

        4Tax 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.

        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 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.

        7An investment in an exchange-traded fund involves risks similar to those of investing in a broadly based portfolio of equity securities traded on exchange in the relevant securities market, such as market fluctuations caused by such factors as economic and political developments, changes in interest rates and perceived trends in stock prices. The investment return and principal value of ETF investments will fluctuate, so that an investor's ETF shares, if or when sold, may be worth more or less than the original cost.

        8Morgan 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.

        9Fixed Income investing entails credit risks and interest rate risks. When interest rates rise, bond prices generally fall.

        10Insurance products are offered in conjunction with Morgan Stanley Smith Barney LLC’s licensed insurance agency affiliates.

        11Income 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.

        12Morgan 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.

        13Morgan 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.

        14Morgan 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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