Managing Director, Wealth Management, Financial Advisor, Family Wealth Director, Global Sports and Entertainment Director, Alternative Investments Director, Senior Portfolio Management Director
Phone:
(954) 713-8489(954) 713-8489
The 350 Wealth Management Group at Morgan Stanley
Our Mission Statement
We help successful individuals and families navigate the complexities that come with significant wealth and gain control over their finances by building and implementing a financial plan personalized to their needs, values, and aspirations.
Our Story and Services
At The 350 Wealth Management Group, we help coaches, athletes, and successful individuals and their families identify strategies that help them resolve the complexities of their financial lives.
Through a holistic approach, we design, implement and coordinate a fully integrated financial plan customized to address your specific objectives for the accumulation, preservation, and transfer of your wealth.
Our team provides advanced technical focus across a broad range of wealth management areas, while delivering a personalized experience for your day-to-day needs.
In addition, we hold two of the most sought-after Morgan Stanley credentials: Family Wealth Director, which demonstrates our experience and advanced knowledge serving the specific challenges of multigenerational families, and Global Sports and Entertainment Director, a distinguished credential that confirms our value to individuals in the sports industry.
We are privileged to serve an exceptional group of clients, each of whom has a unique story about how they created their wealth and how they want to use it to enhance their lives. We look forward to hearing your story and helping you achieve your own definition of success.
Our team includes the following certification holders:
- CERTIFIED FINANCIAL PLANNER™ - CFP®
- Certified Private Wealth Advisor® - CPWA®
- Certified Exit Planning Advisor® - CEPA®
- Certified Divorce Financial Analyst® - CDFA®
- Certified Investment Management Analyst® - CIMA®
- Retirement Management Advisor® - RMA®
- Retirement Income Certified Professional® - RICP®
- Chartered Life Underwriter® - CLU®
- Chartered Financial Consultant® - ChFC®
- Qualified Plan Financial Consultant® - QPFC®
Through a holistic approach, we design, implement and coordinate a fully integrated financial plan customized to address your specific objectives for the accumulation, preservation, and transfer of your wealth.
Our team provides advanced technical focus across a broad range of wealth management areas, while delivering a personalized experience for your day-to-day needs.
In addition, we hold two of the most sought-after Morgan Stanley credentials: Family Wealth Director, which demonstrates our experience and advanced knowledge serving the specific challenges of multigenerational families, and Global Sports and Entertainment Director, a distinguished credential that confirms our value to individuals in the sports industry.
We are privileged to serve an exceptional group of clients, each of whom has a unique story about how they created their wealth and how they want to use it to enhance their lives. We look forward to hearing your story and helping you achieve your own definition of success.
Our team includes the following certification holders:
- CERTIFIED FINANCIAL PLANNER™ - CFP®
- Certified Private Wealth Advisor® - CPWA®
- Certified Exit Planning Advisor® - CEPA®
- Certified Divorce Financial Analyst® - CDFA®
- Certified Investment Management Analyst® - CIMA®
- Retirement Management Advisor® - RMA®
- Retirement Income Certified Professional® - RICP®
- Chartered Life Underwriter® - CLU®
- Chartered Financial Consultant® - ChFC®
- Qualified Plan Financial Consultant® - QPFC®
Services Include
- Asset Management
- Alternative InvestmentsFootnote1
- Business Succession PlanningFootnote2
- Cash Management and Lending ProductsFootnote3
- Divorce Financial AnalysisFootnote4
- Estate Planning StrategiesFootnote5
- Financial PlanningFootnote6
- Fixed IncomeFootnote7
- Life InsuranceFootnote8
- Long-term Care InsuranceFootnote9
- Municipal BondsFootnote10
- Philanthropic ManagementFootnote11
- Planning for Education FundingFootnote12
- Professional Portfolio ManagementFootnote13
- Retirement PlanningFootnote14
- Structured ProductsFootnote15
- Trust ServicesFootnote16
- 401(k) Rollovers
Check the background of Our Firm and Investment Professionals on FINRA's BrokerCheck.*
The 350 Wealth Management Group Process
Family Wealth Director Services
Our co-founder, Greg Steinmetz, holds Morgan Stanley’s distinguished Family Wealth Director (FWD) designation. This credential – achieved by approximately five percent of the firm’s 15,000 Financial Advisors – places him among a select group of advisors uniquely qualified to serve the sophisticated needs of ultra-high-net-worth families.
As a FWD, Greg – along with our team – have access to an extensive range of family office resources needed to help families manage the complex, multigenerational challenges of significant wealth. We take an integrated approach that includes family governance, wealth transfer, asset protection planning, and business succession planning to help you and your family maintain unity as you pass both assets and values across generations.
Our knowledge and insights – combined with access to specialty advisory services – enable us to deliver these family office resources, managing the complexities of your wealth all under one roof. We have the ability to evaluate a broad array of cutting-edge solutions to formulate a tailored strategy for your specific needs, goals, and circumstances.
Below, please see an overview of some the many capabilities we currently offer.
As a FWD, Greg – along with our team – have access to an extensive range of family office resources needed to help families manage the complex, multigenerational challenges of significant wealth. We take an integrated approach that includes family governance, wealth transfer, asset protection planning, and business succession planning to help you and your family maintain unity as you pass both assets and values across generations.
Our knowledge and insights – combined with access to specialty advisory services – enable us to deliver these family office resources, managing the complexities of your wealth all under one roof. We have the ability to evaluate a broad array of cutting-edge solutions to formulate a tailored strategy for your specific needs, goals, and circumstances.
Below, please see an overview of some the many capabilities we currently offer.
Estate Planning Strategies
A fully integrated, holistic analysis of your balance sheet, estate plan and investment strategy through a collaborative process, including your Morgan Stanley Family Wealth Director and Estate Planning Strategist and, at your request, your legal and tax advisors.
Comprehensive Wealth Management Planning
Leveraging a sophisticated suite of analytic tools, as well as the extensive resources of Morgan Stanley, we can help you take charge of your financial future and achieve your goals.
Access to Cash Management and Lending
Morgan Stanley offers a variety of cash management, digital tools, and lending solutions to complement your investment strategy. These modern alternatives to regular banking give you more value and protection in one place.
Philanthropy Management
Provide strategic advisory solutions that can help our clients achieve their philanthropic goals.
- Individuals and Families
- Private and Corporate Foundations
- Nonprofits
- Individuals and Families
- Private and Corporate Foundations
- Nonprofits
Family Governance and Wealth Education
Dedicated professionals who can help you address sensitive family issues, facilitate communication, manage conflict and achieve a shared sense of common direction in coordination with clients' outside advisors.
- Family Governance
- Family Dynamics and Legacy
- Wealth Preservation Strategies
- Effective Communication Strategies
- Wealth Education
Although they may be admitted attorneys, Wealth and Estate Planning Strategists and other Estate Planning Strategies personnel holding legal degrees are acting purely in a non-representative capacity. Neither they or Morgan Stanley provide tax or legal advice to clients or to Morgan Stanley.
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
- Family Governance
- Family Dynamics and Legacy
- Wealth Preservation Strategies
- Effective Communication Strategies
- Wealth Education
Although they may be admitted attorneys, Wealth and Estate Planning Strategists and other Estate Planning Strategies personnel holding legal degrees are acting purely in a non-representative capacity. Neither they or Morgan Stanley provide tax or legal advice to clients or to Morgan Stanley.
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
Lifestyle Advisory
Provide bespoke solutions and access to knowledgeable, highly personal third-party providers to help meet your exceptional needs from everyday to the extraordinary.
- Travel and Concierge Services
- Health and Security Advisory
- Personal Enrichment
- Tangible Asset Management
- Financial Administration
Lifestyle Advisory Products and Service 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. Clients should perform a thorough due diligence and make their own independent decisions.
The term “Family Office Resources” is being used as a term of art and not to imply that Morgan Stanley and/or its employees are acting as a family office pursuant to Investment Advisers Act of 1940.
- Travel and Concierge Services
- Health and Security Advisory
- Personal Enrichment
- Tangible Asset Management
- Financial Administration
Lifestyle Advisory Products and Service 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. Clients should perform a thorough due diligence and make their own independent decisions.
The term “Family Office Resources” is being used as a term of art and not to imply that Morgan Stanley and/or its employees are acting as a family office pursuant to Investment Advisers Act of 1940.
Personalized Client Experience
Life is about change. As you progress through different stages of your personal and professional life, you will face a succession of financial opportunities and challenges. Your financial goals and priorities may shift or evolve, and your wealth management strategies will need to adapt to keep pace.
Throughout your life, you will move through four stages of wealth: Accumulation, Preservation, Utilization, and Transfer. These stages overlap, and the transition between stages may be gradual. As an accomplished individual in the sports or entertainment industry, you have unique career dynamics and variable income streams. Your path through the wealth management cycle is rarely linear and transitions can be abrupt. Given these intricacies, you need comprehensive, customized wealth management strategies that match your lifestyle and your career trajectory.
Throughout your life, you will move through four stages of wealth: Accumulation, Preservation, Utilization, and Transfer. These stages overlap, and the transition between stages may be gradual. As an accomplished individual in the sports or entertainment industry, you have unique career dynamics and variable income streams. Your path through the wealth management cycle is rarely linear and transitions can be abrupt. Given these intricacies, you need comprehensive, customized wealth management strategies that match your lifestyle and your career trajectory.
AWARDS AND RECOGNITIONS
The following are just some of the awards, recognitions and press releases that The 350 Wealth Management Group has received as a result of their constant dedication to assisting clients reach their financial goals.
Links to Awards
2025 Forbes Best-In-State Wealth Management Teams__________________
Disclosures
Forbes Best In State Wealth Management Teams 2025
Source: Forbes.com (Awarded Jan 2025) Data compiled by SHOOK Research LLC based for the period 3/31/23-3/31/24.
Forbes Best In State Wealth Management Teams 2024
Source: Forbes.com (Awarded Jan 2024) Data compiled by SHOOK Research LLC based for the period 3/31/22-3/31/23.
Forbes Best-In-State Next-Gen Wealth Advisors: Angaddeep Ahluwalia, CEPA®
Source: Forbes.com (Awarded Aug 2024) Data compiled by SHOOK Research LLC for the period 3/31/23 - 3/31/24.
2021 - 2023 Forbes Best-In- State Wealth Advisors: Gregory Steinmetz
Source: Forbes.com (Awarded 2021 - 2023). 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 Jan 2025) Data compiled by SHOOK Research LLC based for the period 3/31/23-3/31/24.
Forbes Best In State Wealth Management Teams 2024
Source: Forbes.com (Awarded Jan 2024) Data compiled by SHOOK Research LLC based for the period 3/31/22-3/31/23.
Forbes Best-In-State Next-Gen Wealth Advisors: Angaddeep Ahluwalia, CEPA®
Source: Forbes.com (Awarded Aug 2024) Data compiled by SHOOK Research LLC for the period 3/31/23 - 3/31/24.
2021 - 2023 Forbes Best-In- State Wealth Advisors: Gregory Steinmetz
Source: Forbes.com (Awarded 2021 - 2023). Data compiled by SHOOK Research LLC based 12-month time period concluding in June of year prior to the issuance of the award.
Location
350 East Las Olas Blvd
Ste 1500
Ft Lauderdale, FL 33301
US
Direct:
(954) 762-3000(954) 762-3000
Toll-Free:
(800) 327-8323(800) 327-8323
Fax:
(954) 446-1933(954) 446-1933
Meet The 350 Wealth Management Group
Brian P. Mahoney, CFP®, CPWA®, CDFA®
Senior Vice President, Wealth Management, Financial Advisor, Portfolio Management Director
Phone:
(954) 762-3083(954) 762-3083
Michael P. Gee
Senior Vice President, Wealth Management, Financial Advisor, Portfolio Management Director
Phone:
(954) 762-3082(954) 762-3082
John Snyder, CFP®
Senior Vice President, Wealth Management, Financial Advisor, Portfolio Management Director
Phone:
(954) 713-8405(954) 713-8405
First Vice President, Wealth Management, Wealth Advisor, Senior Portfolio Manager
Phone:
(954) 713-8492(954) 713-8492
Senior Vice President, Wealth Management, Financial Advisor, Global Sports and Entertainment Director, NFLPA Registered Institutional Player Financial Advisor
Phone:
(954) 762-3002(954) 762-3002
Phone:
(954) 577-8874(954) 577-8874
Angaddeep Ahluwalia, CEPA®
First Vice President, Wealth Management, Financial Advisor, Global Sports and Entertainment Director, NFLPA Registered Institutional Player Financial Advisor, Portfolio Manager
Phone:
(954) 713-8488(954) 713-8488
Shawn E. Eager, CFP®, CIMA®, CEPA®, CDFA®
Vice President, Wealth Management, Financial Advisor, Workplace Advisor - Equity Compensation, Senior Portfolio Manager, Financial Planning Specialist
Jackie M. Bookman
Senior Client Service Associate
Phone:
(954) 713-8491(954) 713-8491
Mary L. Gorman
Senior Client Service Associate
Phone:
(954) 762-3034(954) 762-3034
Ann Pharris
Registered Associate
Phone:
(954) 713-8494(954) 713-8494
About Gregory Steinmetz
Greg focuses primarily on meeting the specialized needs of clients in the sports and entertainment industries, and he brings a high level of knowledge and a unique perspective to his clients. With his extensive experience and tailored approach, he helps high-net-worth individuals and their families develop retirement planning strategies that are integrated into a comprehensive financial plan. Greg’s holistic process for wealth management includes customizing client portfolios around their goals for themselves, their families and other loved ones.
Greg has more than 30 years of experience in the financial services industry, including more than 18 years working with professional coaches and athletes. He has also attained the Family Wealth Director designation at Morgan Stanley. Currently held by only 4% of advisors at the firm, this allows Greg to provide true “best-in-class” solutions and personalized strategies to his clients. He is a member of the Morgan Stanley President’s Club and has been named a Forbes “Best-in-State Wealth Advisor” annually since 2019.
An avid sports fan, Greg enjoys playing hockey in his weekly league games, as well as watching his favorite professional football, baseball, basketball, and hockey teams. He resides in Davie, Florida, with his wife and three children.
2019-2022 Forbes Best-In- State Wealth Advisors
Source: Forbes.com (Awarded 2019-2022). Data compiled by SHOOK Research LLC based 12-month time period concluding in June of year prior to the issuance of the award.
Greg has more than 30 years of experience in the financial services industry, including more than 18 years working with professional coaches and athletes. He has also attained the Family Wealth Director designation at Morgan Stanley. Currently held by only 4% of advisors at the firm, this allows Greg to provide true “best-in-class” solutions and personalized strategies to his clients. He is a member of the Morgan Stanley President’s Club and has been named a Forbes “Best-in-State Wealth Advisor” annually since 2019.
An avid sports fan, Greg enjoys playing hockey in his weekly league games, as well as watching his favorite professional football, baseball, basketball, and hockey teams. He resides in Davie, Florida, with his wife and three children.
2019-2022 Forbes Best-In- State Wealth Advisors
Source: Forbes.com (Awarded 2019-2022). Data compiled by SHOOK Research LLC based 12-month time period concluding in June of year prior to the issuance of the award.
Securities Agent: AL, AZ, CA, CO, CT, DC, DE, FL, GA, HI, ID, IL, IN, KY, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, TN, TX, UT, VA, VT, WA, WI, WV, AR, LA, MA, MD, ME, MI, MN, MO, MS, MT, KS, NC, ND, NH, NJ, NE, IA, WY, SD, AK; General Securities Representative; Investment Advisor Representative; Managed Futures
NMLS#: 1282711
NMLS#: 1282711
About Brian P. Mahoney
Brian works with a variety of clients—including entrepreneurs, retirees, medical professionals, and ultra-high-net-worth investors—to provide disciplined and diversified investment management that supports each client’s unique financial objectives. He has particular knowledge about developing customized wealth strategies for retirement planning, estate planning, and divorce situations.
As CERTIFIED FINANCIAL PLANNER™ professional, Certified Private Wealth Advisor®, and Certified Divorce Financial Analyst®, Brian is a credentialed and passionate practitioner of financial planning. Having worked with individuals and families since 1993, Brian has experienced nearly every kind of market cycle and navigated diverse opportunities, and challenges for client portfolios.
Brian resides in Fort Lauderdale with his wife with their young daughter. Outside the office, he enjoys spending his time with his family, as well as boating, Brazilian Jiu Jitsu, and life in South Florida.
As CERTIFIED FINANCIAL PLANNER™ professional, Certified Private Wealth Advisor®, and Certified Divorce Financial Analyst®, Brian is a credentialed and passionate practitioner of financial planning. Having worked with individuals and families since 1993, Brian has experienced nearly every kind of market cycle and navigated diverse opportunities, and challenges for client portfolios.
Brian resides in Fort Lauderdale with his wife with their young daughter. Outside the office, he enjoys spending his time with his family, as well as boating, Brazilian Jiu Jitsu, and life in South Florida.
Securities Agent: NC, MD, UT, OK, NJ, IA, HI, GA, RI, KY, IN, ID, FL, AZ, WV, VA, SC, IL, AR, NV, DC, OR, MT, MN, CO, WI, WA, MI, NY, LA, CA, AK, TN, NH, ND, ME, KS, CT, MA, AL, WY, TX, PA, OH, NM, MS, MO; General Securities Representative; Investment Advisor Representative; Managed Futures
NMLS#: 2069363
NMLS#: 2069363
About Michael P. Gee
Michael is a Senior Vice President, Financial Advisor, and Portfolio Management Director with The 350 Wealth Management Group at Morgan Stanley in Fort Lauderdale. With over 30 years of experience in the financial services industry, Michael is dedicated to understanding and meeting the unique needs of each client and their families. His passion lies in truly comprehending his clients’ financial aspirations and goals. Through comprehensive and thoughtful planning, Michael – and his team – design and customize investment portfolios that are strategically allocated to fit each client’s personal financial situation, while also being adaptable to timely and tactical opportunities in the market.
Michael’s journey in financial services began after earning his bachelor's degree in business administration from the University of Florida. Over the years, he has built extensive knowledge and experience, guiding clients through various market cycles with informed investment strategies. His skilled focus allows him to navigate the complexities of ever-changing market conditions, providing insightful advice to help clients achieve their financial goals.
A South Florida native, Michael currently resides in Boca Raton, with his wife, Patty. They have two grown children, Michael and Sara. Outside the office, Michael treasures quality time with his family and enjoys the vibrant South Florida lifestyle, including golfing, boating, and fishing.
Michael’s journey in financial services began after earning his bachelor's degree in business administration from the University of Florida. Over the years, he has built extensive knowledge and experience, guiding clients through various market cycles with informed investment strategies. His skilled focus allows him to navigate the complexities of ever-changing market conditions, providing insightful advice to help clients achieve their financial goals.
A South Florida native, Michael currently resides in Boca Raton, with his wife, Patty. They have two grown children, Michael and Sara. Outside the office, Michael treasures quality time with his family and enjoys the vibrant South Florida lifestyle, including golfing, boating, and fishing.
Securities Agent: WY, ME, ND, MI, UT, TN, OH, NJ, NH, NC, MD, MO, MA, DC, AR, AL, MT, AK, OR, MS, CT, WV, VA, NV, NM, KS, ID, HI, CA, WI, WA, PA, OK, NY, LA, KY, IN, GA, RI, IL, IA, SC, FL, CO, AZ, TX, MN; General Securities Representative; Investment Advisor Representative; Managed Futures
NMLS#: 1431006
NMLS#: 1431006
About John Snyder
John Snyder is a Senior Vice President, Wealth Advisor, and Portfolio Management Director with The 350 Wealth Management Group at Morgan Stanley in Fort Lauderdale. For decades, John has helped professionals, retirees, and families secure their financial futures, and simplify their financial lives.
A graduate of the University of Maryland, John began his career in wealth management as an Associate Vice President with Dean Whitter in 1981. He would go on to serve as a Financial Advisor for Oppenheimer, Paine Webber, and Prudential Securities, working to earn the rigorous CERTIFIED FINANCIAL PLANNER™ designation in 1997. In 2003, he joined Morgan Stanley, as it would allow his clients access to the elite resources of one of the most well-respected financial institutions in the world.
With The 350 Wealth Management Group, John helps clients address their comprehensive wealth management needs. From retirement planning, portfolio management, and financial planning; to cash management, lending, insurance needs, and more. Having worked in the industry for decades, John has been fortunate to work with clients throughout many important moments in their life, and even across multiple generations. With experience, integrity, and commitment, he works tirelessly to help his clients achieve their long-term objectives, and establish long-lasting legacies.
Outside the office, John lives in Fort Lauderdale with his wife Diane. A former professional U.S.A.C & S.C.C.A. race driver, he now enjoys getting out on the water for a day of sailing. Previously, he has served as a trustee and head of the Investment Committee for First Presbyterian Church of Fort Lauderdale.
Morgan Stanley Smith Barney LLC offers insurance products in conjunction with its licensed insurance agency affiliates.
A graduate of the University of Maryland, John began his career in wealth management as an Associate Vice President with Dean Whitter in 1981. He would go on to serve as a Financial Advisor for Oppenheimer, Paine Webber, and Prudential Securities, working to earn the rigorous CERTIFIED FINANCIAL PLANNER™ designation in 1997. In 2003, he joined Morgan Stanley, as it would allow his clients access to the elite resources of one of the most well-respected financial institutions in the world.
With The 350 Wealth Management Group, John helps clients address their comprehensive wealth management needs. From retirement planning, portfolio management, and financial planning; to cash management, lending, insurance needs, and more. Having worked in the industry for decades, John has been fortunate to work with clients throughout many important moments in their life, and even across multiple generations. With experience, integrity, and commitment, he works tirelessly to help his clients achieve their long-term objectives, and establish long-lasting legacies.
Outside the office, John lives in Fort Lauderdale with his wife Diane. A former professional U.S.A.C & S.C.C.A. race driver, he now enjoys getting out on the water for a day of sailing. Previously, he has served as a trustee and head of the Investment Committee for First Presbyterian Church of Fort Lauderdale.
Morgan Stanley Smith Barney LLC offers insurance products in conjunction with its licensed insurance agency affiliates.
Securities Agent: MO, SC, NC, LA, DC, CO, WV, AZ, AL, WA, OK, OH, ME, IL, ID, VT, HI, GA, PA, OR, NV, NH, KY, FL, WI, NJ, IN, DE, CA, TX, MN, MA, KS, IA, AK, VA, RI, MI, AR, MD, TN, NY, ND, MT, MS, CT, NM; General Securities Representative; Investment Advisor Representative; Transactional Futures/Commodities; Managed Futures
NMLS#: 1406574
NMLS#: 1406574
About James Funk
As a CERTIFIED FINANCIAL PLANNER™ professional, James offers particular knowledge in portfolio review and construction, as well as financial and estate planning strategies. He has built his practice with an emphasis on listening carefully to understand clients’ goals and objectives in order to align their investment solutions accordingly, and he focuses on superior communication and service across every stage of the wealth management experience.
James joined Morgan Stanley in 2000. He holds the Series 31, 7, 66, and Life, Health Insurance and Variable Annuity licenses, and he earned a bachelor’s degree in finance from the University of Central Florida.
A resident of Broward County for more than 40 years, James and his wife, Monica, have two daughters, Dana and Briana, and two friendly dogs, Lexi and Jake. He has been a member of the Kiwanis Club of Plantation since 2000 and has served in many positions over the years, including president. Outside the office, James enjoys spending time with his family, working on his classic car, improving his golf swing and traveling to find the perfect surfing experience.
James joined Morgan Stanley in 2000. He holds the Series 31, 7, 66, and Life, Health Insurance and Variable Annuity licenses, and he earned a bachelor’s degree in finance from the University of Central Florida.
A resident of Broward County for more than 40 years, James and his wife, Monica, have two daughters, Dana and Briana, and two friendly dogs, Lexi and Jake. He has been a member of the Kiwanis Club of Plantation since 2000 and has served in many positions over the years, including president. Outside the office, James enjoys spending time with his family, working on his classic car, improving his golf swing and traveling to find the perfect surfing experience.
Securities Agent: DC, OR, NM, PA, NV, ND, MS, MO, LA, IL, WA, VA, SC, OK, NY, MN, MI, IA, CO, AK, WV, IN, AR, TN, NH, MD, KY, HI, GA, CA, AZ, WI, TX, RI, OH, NC, KS, CT, WY, NJ, MT, FL, AL, NE, ME, MA, ID, VT, SD; General Securities Representative; Investment Advisor Representative; Managed Futures
NMLS#: 1290472
NMLS#: 1290472
About Richard De Luca
Rich focuses on working with clients in the sports and entertainment industry, particularly professional athletes. He takes a holistic approach to wealth management, advising clients on their total financial picture, tailoring their investment plans to their goals and helping manage the day-to-day details of their complex lives.
Rich brings 15 years of experience in the financial industry to the team. Previously, he spent 22 years in the sports industry as a National Football League Players Association (NFLPA) registered contract advisor, which gives him extensive knowledge of professional athletes’ contracts. In addition, Rich’s background has allowed him to gain a deep understanding of the various cycles of an athlete’s personal and professional life that underpins his financial advice. Rich is an NFLPA Registered Institutional Player Financial Advisor, and he earned Morgan Stanley Pacesetters Club recognition in 2022. He graduated from Tulane University with a Bachelor of Science degree.
Rich lives in Weston, Florida, with his wife, Vicki, and their three daughters. He is a big sports fan and animal advocate, and he enjoys playing tennis and basketball in his free time.
Rich brings 15 years of experience in the financial industry to the team. Previously, he spent 22 years in the sports industry as a National Football League Players Association (NFLPA) registered contract advisor, which gives him extensive knowledge of professional athletes’ contracts. In addition, Rich’s background has allowed him to gain a deep understanding of the various cycles of an athlete’s personal and professional life that underpins his financial advice. Rich is an NFLPA Registered Institutional Player Financial Advisor, and he earned Morgan Stanley Pacesetters Club recognition in 2022. He graduated from Tulane University with a Bachelor of Science degree.
Rich lives in Weston, Florida, with his wife, Vicki, and their three daughters. He is a big sports fan and animal advocate, and he enjoys playing tennis and basketball in his free time.
Securities Agent: IA, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY, ID, AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI; General Securities Representative; Investment Advisor Representative
NMLS#: 520998
NMLS#: 520998
About Brett Goetz
Brett Goetz is a Senior Vice President, Financial Advisor at Morgan Stanley. With over 30 years’ experience working in the financial industry, Brett Goetz has built an exemplary professional business. A graduate from the University of Florida, Brett began his career in financial services at JB Hanauer & Co. in 1993 where he focused on fixed income markets. Before joining Morgan Stanley, Brett worked at PaineWebber, which is now UBS, for over 15 years.
Brett currently resides in Hollywood, FL with his wife, Jennifer, and his daughter, Carly. Brett takes great pride in his community and is a Volunteer/Board Member of the North Shore/Nor Isle Optimist Club. He is also President and Owner of the National Champion South Florida Express Football Program. In his free time, he enjoys golfing, spending time with his family, and making a difference in his community.
In 2004, Brett was awarded the Key to the City of Miami Beach from the Mayor, David Dermer, for his extraordinary service in helping the youth in his community. Brett was and still is a mentor on and off the football field to the young adults and inner-city kids of Florida. Guiding them on the right path and helping them achieve their goals in life.
The pride Brett has in his community, is expressed in his business for his clients as well. Building long lasting relationships and helping individuals and their families through challenging market conditions and guiding them on the right financial path.
Brett currently resides in Hollywood, FL with his wife, Jennifer, and his daughter, Carly. Brett takes great pride in his community and is a Volunteer/Board Member of the North Shore/Nor Isle Optimist Club. He is also President and Owner of the National Champion South Florida Express Football Program. In his free time, he enjoys golfing, spending time with his family, and making a difference in his community.
In 2004, Brett was awarded the Key to the City of Miami Beach from the Mayor, David Dermer, for his extraordinary service in helping the youth in his community. Brett was and still is a mentor on and off the football field to the young adults and inner-city kids of Florida. Guiding them on the right path and helping them achieve their goals in life.
The pride Brett has in his community, is expressed in his business for his clients as well. Building long lasting relationships and helping individuals and their families through challenging market conditions and guiding them on the right financial path.
Securities Agent: HI, VA, TX, NM, FL, WI, WA, RI, MD, AL, OR, OH, ND, ME, MA, WV, CT, SC, NH, MN, CO, MT, MS, IN, IA, NV, MO, CA, AR, PA, KS, DC, AK, OK, NC, MI, LA, GA, AZ, WY, TN, NY, NJ, KY, IL; General Securities Representative; Investment Advisor Representative; Managed Futures
NMLS#: 2153564
NMLS#: 2153564
About Angaddeep Ahluwalia
Angaddeep works with entrepreneurs, ultra-high-net-worth investors and professional coaches, athletes and entertainers to provide disciplined investment management and comprehensive financial planning strategies. He oversees the team’s management and maintenance of investment accounts, including trading, research and portfolio construction. Specifically, he is responsible for building equity and fixed income portfolios and developing customized alternative and structured note portfolios—all of which require him to conduct fundamental and technical analysis on individual equity and fixed income positions.
Angaddeep joined the 350 Wealth Management Group at Morgan Stanley in 2014 and was named a Forbes “Top Next-Gen Wealth Advisor Best-in-State” in 2024. He also holds the “NFLPA Registered Institutional Player Financial Advisor” designation and is a Global Sports and Entertainment Associate Director. He holds the FINRA Series 7 and 66 licenses and has earned the Certified Exit Planning Advisor designation. Angaddeep graduated from Nova Southeastern University with a degree in finance.
Angaddeep lives in Parkland with his family. In his spare time, he enjoys volunteering in his community, and playing basketball and racquetball. He is also an avid cricket, football, and soccer fan.
Forbes America’s Top Next-Gen Wealth Advisors & Top Next-Gen Wealth Advisors Best-in-State
Source: Forbes.com (Awarded Aug 2024) Data compiled by SHOOK Research LLC for the period 3/31/23 - 3/31/24.
Technical analysis is the study of past price and volume trends of a security in an attempt to predict the security's future price and volume trends. Its limitations include but are not limited to: the lack of fundamental analysis of a security's financial condition, lack of analysis of macro-economic trend forecasts, the bias of the technician's view and the possibility that past participants were not entirely rational in their past purchases or sales of the security being analyzed. Investors using technical analysis should consider these limitations prior to making an investment decision.
Angaddeep joined the 350 Wealth Management Group at Morgan Stanley in 2014 and was named a Forbes “Top Next-Gen Wealth Advisor Best-in-State” in 2024. He also holds the “NFLPA Registered Institutional Player Financial Advisor” designation and is a Global Sports and Entertainment Associate Director. He holds the FINRA Series 7 and 66 licenses and has earned the Certified Exit Planning Advisor designation. Angaddeep graduated from Nova Southeastern University with a degree in finance.
Angaddeep lives in Parkland with his family. In his spare time, he enjoys volunteering in his community, and playing basketball and racquetball. He is also an avid cricket, football, and soccer fan.
Forbes America’s Top Next-Gen Wealth Advisors & Top Next-Gen Wealth Advisors Best-in-State
Source: Forbes.com (Awarded Aug 2024) Data compiled by SHOOK Research LLC for the period 3/31/23 - 3/31/24.
Technical analysis is the study of past price and volume trends of a security in an attempt to predict the security's future price and volume trends. Its limitations include but are not limited to: the lack of fundamental analysis of a security's financial condition, lack of analysis of macro-economic trend forecasts, the bias of the technician's view and the possibility that past participants were not entirely rational in their past purchases or sales of the security being analyzed. Investors using technical analysis should consider these limitations prior to making an investment decision.
Securities Agent: ME, LA, IN, WV, TN, ND, DC, WA, NM, MT, AZ, AL, VA, OH, MN, SC, RI, PA, KY, FL, AK, TX, NV, NC, KS, HI, AR, UT, OR, NJ, IA, WI, OK, MS, IL, CA, MO, MI, MA, CO, NH, MD, GA, CT, VT, NY; General Securities Representative; Investment Advisor Representative
NMLS#: 1569116
NMLS#: 1569116
About Shawn E. Eager
Shawn is dedicated to skillfully navigating complex financial landscapes to help clients achieve their goals during significant life events and beyond. Serving clients in South Florida and nationwide, he combines his extensive professional focus with Morgan Stanley's global resources, specialized research, and world-class solutions.
Shawn provides personalized financial advice and strategies to help guide you through pivotal moments with confidence and financial security. Here's how he can assist you:
- Life Events: Tailored guidance for milestones like welcoming a new child, career transitions, marriage, relocation, or managing a loved one's affairs.
- Business Owners: Strategic exit planning to enhance business value and explore exit options.
- Individuals Facing Divorce: Receive guidance to navigate the financial complexities and implications of divorce.
- Corporate Executives: Seamless integration of equity compensation into comprehensive financial plans.
- Retirees: Development of sustainable retirement income plans and effective risk management.
Shawn's advanced certifications underscore his comprehensive expertise:
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
- Certified Investment Management Analyst® (CIMA®)
- Certified Exit Planning Advisor® (CEPA®)
- Certified Divorce Financial Analyst® (CDFA®)
- Chartered Financial Consultant® (ChFC®)
- Chartered Life Underwriter® (CLU®)
- Retirement Management Advisor® (RMA®)
- Retirement Income Certified Professional® (RICP®)
- Qualified Plan Financial Consultant® (QPFC®)
Since joining Morgan Stanley in 2018, Shawn has been subsequently named to the firm’s prestigious Pacesetter’s Club (2022-2025), a global recognition program for Financial Advisors who have demonstrated the highest professional standards and first-class client service early in their career.
Originally from Biddeford, Maine, Shawn holds a bachelor’s degree from the University of Southern Maine and a master’s degree from Florida Atlantic University. Now living in Fort Lauderdale, he enjoys life with his fiancée, Brunna, their sons, Odin and Thomas, and their mini goldendoodle, Sasha.
Outside of his professional and family responsibilities, Shawn serves on the Gilda's Club South Florida's Board of Directors, supporting individuals and families affected by cancer. An avid reader and scuba diving enthusiast, Shawn also holds a black belt in Brazilian Jiu-Jitsu and engages in EMS fitness training.
Shawn provides personalized financial advice and strategies to help guide you through pivotal moments with confidence and financial security. Here's how he can assist you:
- Life Events: Tailored guidance for milestones like welcoming a new child, career transitions, marriage, relocation, or managing a loved one's affairs.
- Business Owners: Strategic exit planning to enhance business value and explore exit options.
- Individuals Facing Divorce: Receive guidance to navigate the financial complexities and implications of divorce.
- Corporate Executives: Seamless integration of equity compensation into comprehensive financial plans.
- Retirees: Development of sustainable retirement income plans and effective risk management.
Shawn's advanced certifications underscore his comprehensive expertise:
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
- Certified Investment Management Analyst® (CIMA®)
- Certified Exit Planning Advisor® (CEPA®)
- Certified Divorce Financial Analyst® (CDFA®)
- Chartered Financial Consultant® (ChFC®)
- Chartered Life Underwriter® (CLU®)
- Retirement Management Advisor® (RMA®)
- Retirement Income Certified Professional® (RICP®)
- Qualified Plan Financial Consultant® (QPFC®)
Since joining Morgan Stanley in 2018, Shawn has been subsequently named to the firm’s prestigious Pacesetter’s Club (2022-2025), a global recognition program for Financial Advisors who have demonstrated the highest professional standards and first-class client service early in their career.
Originally from Biddeford, Maine, Shawn holds a bachelor’s degree from the University of Southern Maine and a master’s degree from Florida Atlantic University. Now living in Fort Lauderdale, he enjoys life with his fiancée, Brunna, their sons, Odin and Thomas, and their mini goldendoodle, Sasha.
Outside of his professional and family responsibilities, Shawn serves on the Gilda's Club South Florida's Board of Directors, supporting individuals and families affected by cancer. An avid reader and scuba diving enthusiast, Shawn also holds a black belt in Brazilian Jiu-Jitsu and engages in EMS fitness training.
Securities Agent: WV, IL, DC, OK, MS, ME, TN, MT, MA, ID, CT, CO, VT, UT, TX, NY, NV, MN, MD, KY, GA, AR, AL, AK, SC, RI, OR, CA, VA, OH, NH, NC, LA, HI, WY, WI, PA, NM, ND, MO, IA, FL, AZ, WA, MI, KS, NJ, IN; General Securities Representative; Investment Advisor Representative
NMLS#: 1889161
CA Insurance License #: 4091347
NMLS#: 1889161
CA Insurance License #: 4091347
About Jackie M. Bookman
Jackie has over 20 years of experience in the financial industry. She joined Morgan Stanley in 2010 after having previously worked at a financial services firm for almost 15 years. Jackie's role includes being responsible for day-to-day operations, monitoring client accounts, and most importantly helping to service clients on a daily basis. Jackie has been married to her husband Michael for almost 40 years, and has two sons and one granddaughter.
About Mary L. Gorman
Mary handles client-related requests and inquiries with efficiency, from financial transactions to account maintenance. She is committed to delivering superior service and building relationships that help her anticipate and address clients’ needs. Mary brings 40 years of financial services industry experience to the team, which she uses to help solve service-related issues every day. She earned a business degree from the Taylor Business Institute in New Jersey.
Originally from Point Pleasant Beach, New Jersey, Mary moved to Florida in 1977 and currently lives in Hollywood. She and her husband have two children, three grandchildren and a rescue dog, Ginger (who goes by the name of Bahamian Pot Cake). Outside the office, she enjoys boating, camping (or glamping) and traveling.
Originally from Point Pleasant Beach, New Jersey, Mary moved to Florida in 1977 and currently lives in Hollywood. She and her husband have two children, three grandchildren and a rescue dog, Ginger (who goes by the name of Bahamian Pot Cake). Outside the office, she enjoys boating, camping (or glamping) and traveling.
About Ann Pharris
Ann has been with Morgan Stanley for over 5 years; she assists the team by helping service clients and developing customized financial plans. Her previous experience is in small business, in both ownership and administrative roles. In her spare time Ann enjoys volunteering and indulging her artistic nature by painting. Originally from Wisconsin, Ann currently resides in Davie, FL with her two children.
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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
Financial Wellness
Enhancing Financial Wellness enables your workforce to do their best work. Companies that invest in financial wellness have an opportunity to:
- Reduce employee stress,
- Improve retention and engagement, and
- Set themselves apart by offering comprehensive financial wellness benefits.
Ready to start a conversation? Contact The 350 Wealth Management Group today.
Certified Financial Planner Board of Standards, Inc. (CFP Board) owns the certification marks CFP®, CERTIFIED FINANCIAL PLANNER™, and CFP® (with plaque design) in the United States, which it authorizes use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements.
1Alternative 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 appropriate only for qualified, long-term investors who are willing to forgo liquidity and put capital at risk for an indefinite period of time.
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 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
4Morgan 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.
5Morgan 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.
6Morgan 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 or review our Understanding Your Brokerage and Investment Advisory Relationships brochure available at www.morganstanley.com/wealth-relationshipwithms/pdfs/understandingyourrelationship.pdf.
7Fixed Income investing entails credit risks and interest rate risks. When interest rates rise, bond prices generally fall.
8Insurance products are offered in conjunction with Morgan Stanley Smith Barney LLC’s licensed insurance agency affiliates.
9Insurance products are offered in conjunction with Morgan Stanley Smith Barney LLC’s licensed insurance agency affiliates.
10Municipal bonds may not be appropriate for all investors. Income 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.
Morgan Stanley Smith Barney LLC (“Morgan Stanley”) and its Financial Advisors and Private Wealth Advisors do not provide any tax/legal advice. Consult your own tax/legal advisor before making any tax or legal-related investment decisions.
11Products 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.
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.
12When Morgan Stanley Smith Barney LLC, its affiliates and Morgan Stanley Financial Advisors and Private Wealth Advisors (collectively, “Morgan Stanley”) provide “investment advice” regarding a retirement or welfare benefit plan account, an individual retirement account or a Coverdell education savings account (“Retirement Account”), Morgan Stanley is a “fiduciary” as those terms are defined under the Employee Retirement Income Security Act of 1974, as amended (“ERISA”), and/or the Internal Revenue Code of 1986 (the “Code”), as applicable. When Morgan Stanley provides investment education, takes orders on an unsolicited basis or otherwise does not provide “investment advice”, Morgan Stanley will not be considered a “fiduciary” under ERISA and/or the Code. For more information regarding Morgan Stanley’s role with respect to a Retirement Account, please visit www.morganstanley.com/disclosures/dol. Tax laws are complex and subject to change. Morgan Stanley does not provide tax or legal advice. Individuals are encouraged to consult their tax and legal advisors (a) before establishing a Retirement Account, and (b) regarding any potential tax, ERISA and related consequences of any investments or other transactions made with respect to a Retirement Account. Individuals should always check with their tax or legal advisor before engaging in any transaction involving 529 Plans, Education Savings Accounts and other tax-advantaged investments.
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 appropriate 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.
14When Morgan Stanley Smith Barney LLC, its affiliates and Morgan Stanley Financial Advisors and Private Wealth Advisors (collectively, “Morgan Stanley”) provide “investment advice” regarding a retirement or welfare benefit plan account, an individual retirement account or a Coverdell education savings account (“Retirement Account”), Morgan Stanley is a “fiduciary” as those terms are defined under the Employee Retirement Income Security Act of 1974, as amended (“ERISA”), and/or the Internal Revenue Code of 1986 (the “Code”), as applicable. When Morgan Stanley provides investment education, takes orders on an unsolicited basis or otherwise does not provide “investment advice”, Morgan Stanley will not be considered a “fiduciary” under ERISA and/or the Code. For more information regarding Morgan Stanley’s role with respect to a Retirement Account, please visit www.morganstanley.com/disclosures/dol. Tax laws are complex and subject to change. Morgan Stanley does not provide tax or legal advice. Individuals are encouraged to consult their tax and legal advisors (a) before establishing a Retirement Account, and (b) regarding any potential tax, ERISA and related consequences of any investments or other transactions made with respect to a Retirement Account. Individuals 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.
15Structured Investments are complex and not appropriate for all investors. An investment in structured investments involves risks. These risks can include but are not limited to: fluctuations in the price, level or yield of underlying asset(s), interest rates, currency values and credit quality, substantial loss of principal, limits on participation in appreciation of underlying asset(s), limited liquidity, credit risk, and/or conflicts of interest. Many structured investments do not pay interest or guarantee a return above principal at maturity. Investors should read the security’s offering documentation prior to making an investment decision.
16Morgan 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.
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 and other legal matters.
Check the background of our Firm and Investment Professionals on FINRA's BrokerCheck*.
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 appropriate 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”), its affiliates and Morgan Stanley Financial Advisors or Private Wealth Advisors do not provide tax or legal advice. Individuals should consult their tax advisor for matters involving taxation and tax planning and their attorney for legal matters.
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.
Certified Financial Planner Board of Standards Inc. owns the certification marks CFP®, CERTIFIED FINANCIAL PLANNER™ and federally registered CFP (with flame design) in the U.S, which it awards to individuals who successfully complete CFP Board’s initial and ongoing certification requirements.
The use of the CDFA designation does not permit the rendering of legal advice by Morgan Stanley or its Financial Advisors which may only be done by a licensed attorney. The CDFA designation is not intended to imply that either Morgan Stanley or its Financial Advisors are acting as experts in this field.
Awards Disclosures
1Alternative 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 appropriate only for qualified, long-term investors who are willing to forgo liquidity and put capital at risk for an indefinite period of time.
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 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
4Morgan 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.
5Morgan 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.
6Morgan 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 or review our Understanding Your Brokerage and Investment Advisory Relationships brochure available at www.morganstanley.com/wealth-relationshipwithms/pdfs/understandingyourrelationship.pdf.
7Fixed Income investing entails credit risks and interest rate risks. When interest rates rise, bond prices generally fall.
8Insurance products are offered in conjunction with Morgan Stanley Smith Barney LLC’s licensed insurance agency affiliates.
9Insurance products are offered in conjunction with Morgan Stanley Smith Barney LLC’s licensed insurance agency affiliates.
10Municipal bonds may not be appropriate for all investors. Income 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.
Morgan Stanley Smith Barney LLC (“Morgan Stanley”) and its Financial Advisors and Private Wealth Advisors do not provide any tax/legal advice. Consult your own tax/legal advisor before making any tax or legal-related investment decisions.
11Products 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.
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.
12When Morgan Stanley Smith Barney LLC, its affiliates and Morgan Stanley Financial Advisors and Private Wealth Advisors (collectively, “Morgan Stanley”) provide “investment advice” regarding a retirement or welfare benefit plan account, an individual retirement account or a Coverdell education savings account (“Retirement Account”), Morgan Stanley is a “fiduciary” as those terms are defined under the Employee Retirement Income Security Act of 1974, as amended (“ERISA”), and/or the Internal Revenue Code of 1986 (the “Code”), as applicable. When Morgan Stanley provides investment education, takes orders on an unsolicited basis or otherwise does not provide “investment advice”, Morgan Stanley will not be considered a “fiduciary” under ERISA and/or the Code. For more information regarding Morgan Stanley’s role with respect to a Retirement Account, please visit www.morganstanley.com/disclosures/dol. Tax laws are complex and subject to change. Morgan Stanley does not provide tax or legal advice. Individuals are encouraged to consult their tax and legal advisors (a) before establishing a Retirement Account, and (b) regarding any potential tax, ERISA and related consequences of any investments or other transactions made with respect to a Retirement Account. Individuals should always check with their tax or legal advisor before engaging in any transaction involving 529 Plans, Education Savings Accounts and other tax-advantaged investments.
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 appropriate 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.
14When Morgan Stanley Smith Barney LLC, its affiliates and Morgan Stanley Financial Advisors and Private Wealth Advisors (collectively, “Morgan Stanley”) provide “investment advice” regarding a retirement or welfare benefit plan account, an individual retirement account or a Coverdell education savings account (“Retirement Account”), Morgan Stanley is a “fiduciary” as those terms are defined under the Employee Retirement Income Security Act of 1974, as amended (“ERISA”), and/or the Internal Revenue Code of 1986 (the “Code”), as applicable. When Morgan Stanley provides investment education, takes orders on an unsolicited basis or otherwise does not provide “investment advice”, Morgan Stanley will not be considered a “fiduciary” under ERISA and/or the Code. For more information regarding Morgan Stanley’s role with respect to a Retirement Account, please visit www.morganstanley.com/disclosures/dol. Tax laws are complex and subject to change. Morgan Stanley does not provide tax or legal advice. Individuals are encouraged to consult their tax and legal advisors (a) before establishing a Retirement Account, and (b) regarding any potential tax, ERISA and related consequences of any investments or other transactions made with respect to a Retirement Account. Individuals 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.
15Structured Investments are complex and not appropriate for all investors. An investment in structured investments involves risks. These risks can include but are not limited to: fluctuations in the price, level or yield of underlying asset(s), interest rates, currency values and credit quality, substantial loss of principal, limits on participation in appreciation of underlying asset(s), limited liquidity, credit risk, and/or conflicts of interest. Many structured investments do not pay interest or guarantee a return above principal at maturity. Investors should read the security’s offering documentation prior to making an investment decision.
16Morgan 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.
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 and other legal matters.
Check the background of our Firm and Investment Professionals on FINRA's BrokerCheck*.
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 appropriate 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”), its affiliates and Morgan Stanley Financial Advisors or Private Wealth Advisors do not provide tax or legal advice. Individuals should consult their tax advisor for matters involving taxation and tax planning and their attorney for legal matters.
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.
Certified Financial Planner Board of Standards Inc. owns the certification marks CFP®, CERTIFIED FINANCIAL PLANNER™ and federally registered CFP (with flame design) in the U.S, which it awards to individuals who successfully complete CFP Board’s initial and ongoing certification requirements.
The use of the CDFA designation does not permit the rendering of legal advice by Morgan Stanley or its Financial Advisors which may only be done by a licensed attorney. The CDFA designation is not intended to imply that either Morgan Stanley or its Financial Advisors are acting as experts in this field.
Awards Disclosures
CRC 6491812 (04/2024)
