Dennis Williams
Managing Director, Private Wealth Management, Private Wealth Advisor, Alternative Investments Director, Portfolio Management Director, Financial Planning Specialist
Phone:
(816) 932-7857(816) 932-7857
Morgan Stanley Private Wealth Management
The 4520 Group
Our Mission Statement
Delivering the experience, resources and personalized service needed to help affluent families address their most complex wealth management issues.
Welcome
Our Mission:
Having substantial wealth today affords its share of complexities. By combining the multifaceted skills, experience, and distinctive approach of The 4520 Group at Morgan Stanley, we put you on the cutting edge of wealth and investment management. Through a comprehensive advisory and management-based platform, we provide tailored and actionable strategies designed to help you achieve your financial and lifestyle goals.
We believe that by collaborating together, greater measures of success can be achieved. We provide the same personal approach to all of our clients, be they corporations, institutions, families or high net worth individuals. Each client’s vision becomes our own.
What is your vision?
Our Vision:
The path to success in any endeavor is difficult to traverse alone. Navigating the changing tides of the investment world is no different. We will help you chart your course to achieve your vision of financial success. Working together, we believe that dreams can become reality.
Wealth is about more than just accumulation. Preserving it, the ability to utilize it and transferring it are all phases of wealth. We have built many successful long-term client relationships by guiding our clients through the stages of wealth and helping them to realize their vision. We will be your guide throughout the financial life cycle.
A senior partner in the Group, Dennis Williams, was named to Forbes Best-In-State Wealth Advisors 2022. Forbes "Best-In-State Wealth Advisors" list, April 7th, 2022.
A senior partner in the Group, Dennis Williams, was named to Barron’s Top 1,200 Financial Advisors in 2022. Barron’s “America’s Top 1,200 Advisors: State-by-State” list, March 11th, 2022.
Forbes Best-In-State Wealth Advisors
Source: Forbes.com (Awarded Apr 2022) Data compiled by SHOOK Research LLC based on time period from 6/30/20 - 6/30/21.
Barron's Top 1,200 Financial Advisors: State-by-State
Source: Barron's.com (Awarded Mar 2022) Data compiled by Barron's based on time period from Sept 2020 - Sept 2021.
Having substantial wealth today affords its share of complexities. By combining the multifaceted skills, experience, and distinctive approach of The 4520 Group at Morgan Stanley, we put you on the cutting edge of wealth and investment management. Through a comprehensive advisory and management-based platform, we provide tailored and actionable strategies designed to help you achieve your financial and lifestyle goals.
We believe that by collaborating together, greater measures of success can be achieved. We provide the same personal approach to all of our clients, be they corporations, institutions, families or high net worth individuals. Each client’s vision becomes our own.
What is your vision?
Our Vision:
The path to success in any endeavor is difficult to traverse alone. Navigating the changing tides of the investment world is no different. We will help you chart your course to achieve your vision of financial success. Working together, we believe that dreams can become reality.
Wealth is about more than just accumulation. Preserving it, the ability to utilize it and transferring it are all phases of wealth. We have built many successful long-term client relationships by guiding our clients through the stages of wealth and helping them to realize their vision. We will be your guide throughout the financial life cycle.
A senior partner in the Group, Dennis Williams, was named to Forbes Best-In-State Wealth Advisors 2022. Forbes "Best-In-State Wealth Advisors" list, April 7th, 2022.
A senior partner in the Group, Dennis Williams, was named to Barron’s Top 1,200 Financial Advisors in 2022. Barron’s “America’s Top 1,200 Advisors: State-by-State” list, March 11th, 2022.
Forbes Best-In-State Wealth Advisors
Source: Forbes.com (Awarded Apr 2022) Data compiled by SHOOK Research LLC based on time period from 6/30/20 - 6/30/21.
Barron's Top 1,200 Financial Advisors: State-by-State
Source: Barron's.com (Awarded Mar 2022) Data compiled by Barron's based on time period from Sept 2020 - Sept 2021.
Capabilities
- Open-Architecture Platform
- Comprehensive Wealth Planning
- Investment Management
- Asset AllocationFootnote1
- Manager Selection
- Proprietary Investment Opportunities
- Risk Management
- Hedging Strategies
- Sustainable & Responsible InvestingFootnote2
- Retirement & Pension Plans
- Pre-Liquidity Planning
- Cash Management & LendingFootnote3
- Securities Based LendingFootnote4
- Consolidated Reporting
- Family Governance & Wealth Education
Check the background of Our Firm and Investment Professionals on FINRA's BrokerCheck.*
About PWM
Founded in 1977, Private Wealth Management is the division of Morgan Stanley Wealth Management that is dedicated to serving the firm’s most affluent clients, including some of the world’s most accomplished entrepreneurs, executives and stewards of multigenerational wealth. Functioning as an exclusive investment boutique within a global financial firm, we deliver sophisticated solutions that leverage the intellectual capital and insight of Morgan Stanley’s substantial global resources. Drawing on a deep understanding of your financial life, our goal is to help you:
- Manage investments with an unwavering focus on your financial strategy and personal goals
- Create comprehensive, multigenerational wealth management plans based on your needs, challenges and the values that guide your life and legacy
- Simplify financial complexity to help you achieve clarity and control
Private Wealth Management Highlights
- Approximately 300 teams1 specialized in assisting individuals and families with $20MM+ in investable assets
- Over $775 billion in AUM1
- Comprising 25% of the Barron’s Top 100 Financial Advisors list for 2023
- Direct access to ultra high net worth experts in philanthropy, family dynamics, wealth transfer, lifestyle advisory and other areas of interest to ultra high net worth families
1 Morgan Stanley Wealth Management, December, 2023
Source: Barron's.com (April 2023) 2023 Barron's Top 100 Financial Advisors awarded in 2023. This ranking was determined based on an evaluation process conducted by Barron's during the period from Dec 2020 - Dec 2021. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. Rankings are based on the opinions of Barron's and this ranking may not be representative of any one client’s experience. This ranking is not indicative of the Financial Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark of Dow Jones & Company, L.P. All rights reserved.
Approach
Discovery Process
Investing the time to learn about you and your family; your assets and liabilities and the risk exposures, enables us to formulate strategies and customize the relationship to your needs.
Formulation of Tax, Trust and Estate Strategy
Working with your tax and legal advisors, we help analyze your income and estate tax circumstances to identify and tailor planning techniques that may be used to address your objectives.
Creation of Customized Strategic Asset Allocation
Your customized asset allocation reflects risk, opportunities and taxation across multiple entities, while integrating your investing and estate plans.
Integration of Tactical Asset Allocation
Short-term adjustments seek to capitalize on temporary market distortions. Before making adjustments, we analyze the impact of taxes and trading costs on potential returns.
Implementation of a Customized Wealth Strategy
After comprehensive due diligence and analysis of expected results across multiple market scenarios, strategies are chosen from our expansive investment platform.
Ongoing Assessment
In coordination with your other advisors, we can conduct ongoing reviews and comprehensive reporting to ensure that your strategy adapts to changing financial and family needs.
Managing Wealth Together
We do business differently than our competition. We focus on a select group of high net worth clients whose affluence and needs require more than the conventional approach to wealth management. As Private Wealth Advisors and Portfolio Managers, we design, coordinate, and implement wealth management strategies. We believe that the success of our business model is reflected by the confidence placed in us by some of the area’s most successful and well-known institutions, corporations and high net worth families and individuals.
We would like to earn your trust:
We are just as loyal to our clients as they are to us. We are always professional, friendly and courteous. We hold ourselves to the highest ethical standards possible. We take your wealth goals seriously. We value your distinct needs and unique and evolving circumstances and tailor our ongoing advice around them. We value your time and the assets you entrust us with as if they were our own.
We are our own clients:
Like you, we invest our own assets using the same investment principles and strategies. We share the same values, needs and concerns when it comes to investing money that impacts an entire family, corporation or institution.
Like a well-diversified, properly allocated portfolio—institutions, corporations and families are comprised of distinct parts that complement each other and depend on each other to function at the highest possible level. We recognize this whenever we make any investment decision and embody this philosophy as The 4520 Group by working together as a team that compliments each other and shares the same goals as you.
We work in tandem so there is never a missed opportunity:
We pride ourselves on the high level of service we provide to the demanding needs of our clients. The breadth and depth of our team helps ensure that there is always someone available to handle any situation when market conditions or you dictate. We maintain constant coverage of our client’s needs, their investments and market opportunities that present themselves on short notice. Our distinct, multifaceted approach to wealth management gives our clients access to resources and select investment products not traditionally available through other platforms.
We would like to earn your trust:
We are just as loyal to our clients as they are to us. We are always professional, friendly and courteous. We hold ourselves to the highest ethical standards possible. We take your wealth goals seriously. We value your distinct needs and unique and evolving circumstances and tailor our ongoing advice around them. We value your time and the assets you entrust us with as if they were our own.
We are our own clients:
Like you, we invest our own assets using the same investment principles and strategies. We share the same values, needs and concerns when it comes to investing money that impacts an entire family, corporation or institution.
Like a well-diversified, properly allocated portfolio—institutions, corporations and families are comprised of distinct parts that complement each other and depend on each other to function at the highest possible level. We recognize this whenever we make any investment decision and embody this philosophy as The 4520 Group by working together as a team that compliments each other and shares the same goals as you.
We work in tandem so there is never a missed opportunity:
We pride ourselves on the high level of service we provide to the demanding needs of our clients. The breadth and depth of our team helps ensure that there is always someone available to handle any situation when market conditions or you dictate. We maintain constant coverage of our client’s needs, their investments and market opportunities that present themselves on short notice. Our distinct, multifaceted approach to wealth management gives our clients access to resources and select investment products not traditionally available through other platforms.
The comprehensive approach to wealth management implemented by The 4520 Group at Morgan Stanley Private Wealth Management allows our clients to turn to one source for investment management, consulting, private banking, and financial integration.
As a team at Morgan Stanley, we manage five distinct investment strategies for our clients. Each has a different process and discipline, adding to the dynamic array of investment choices we offer to our clients. The biggest advantage of professionally managing portfolios is the personal access afforded to our clients.
Beyond our group lie the vast resources of Consulting Group, Private Wealth Management (PWM), and Morgan Stanley. Within these organizations, we have developed many special relationships with experts in their fields to facilitate a holistic approach to your finances. The open architecture of this virtually unparalleled global platform allows us to approach wealth management from multiple angles rather than being singularly focused.
We utilize Consulting Group’s proprietary, industry-leading research to select professional money managers that meet stringent quantitative and qualitative standards. Through Morgan Stanley*, we provide access to one of the largest inventories of fixed income securities in the country and an industry-leading selection of Alternative Investment opportunities that are researched by the Alternative Investments Group. Additionally, we offer the full suite of private banking, cash management, & lending services. Such integration can help open up greater leveraging opportunities allowing your wealth to work for you.
We welcome the opportunity to work in concert with any trusted personal advisors you may already have, such as an attorney or accountant. Such cooperation helps ensure that all aspects of your financial life work in tandem for your benefit and that all interested parties collaborate on your behalf.
As a reflection of your portfolio’s progress, we provide timely updates and reviews using state-of-the-art proprietary software. We then take the time to review your portfolio at your convenience and keep an open channel of communication between meetings. This responsive, proactive approach ensures that we all share the same vision of success. When visions of success reflect each other, collaborating together can bring vision into reality.
To commence this journey, we encourage you to contact us to explore what opportunities lie in wait for you.
Alternative investments are often speculative and include a high degree of risk. Investors can lose all or a substantial amount of their investment. They may be highly illiquid, can engage in leverage, short-selling and other speculative practices that may increase volatility and the risk of loss, and may be subject to large investment minimums and initial lock-ups. They may involve complex tax structures, tax inefficient investing and delays in distributing important tax information. They may have higher fees and expenses that traditional investments, and such fees and expenses can lower the returns achieved by investors.
Consulting Group is a business of Morgan Stanley Smith Barney LLC.
As a team at Morgan Stanley, we manage five distinct investment strategies for our clients. Each has a different process and discipline, adding to the dynamic array of investment choices we offer to our clients. The biggest advantage of professionally managing portfolios is the personal access afforded to our clients.
Beyond our group lie the vast resources of Consulting Group, Private Wealth Management (PWM), and Morgan Stanley. Within these organizations, we have developed many special relationships with experts in their fields to facilitate a holistic approach to your finances. The open architecture of this virtually unparalleled global platform allows us to approach wealth management from multiple angles rather than being singularly focused.
We utilize Consulting Group’s proprietary, industry-leading research to select professional money managers that meet stringent quantitative and qualitative standards. Through Morgan Stanley*, we provide access to one of the largest inventories of fixed income securities in the country and an industry-leading selection of Alternative Investment opportunities that are researched by the Alternative Investments Group. Additionally, we offer the full suite of private banking, cash management, & lending services. Such integration can help open up greater leveraging opportunities allowing your wealth to work for you.
We welcome the opportunity to work in concert with any trusted personal advisors you may already have, such as an attorney or accountant. Such cooperation helps ensure that all aspects of your financial life work in tandem for your benefit and that all interested parties collaborate on your behalf.
As a reflection of your portfolio’s progress, we provide timely updates and reviews using state-of-the-art proprietary software. We then take the time to review your portfolio at your convenience and keep an open channel of communication between meetings. This responsive, proactive approach ensures that we all share the same vision of success. When visions of success reflect each other, collaborating together can bring vision into reality.
To commence this journey, we encourage you to contact us to explore what opportunities lie in wait for you.
Alternative investments are often speculative and include a high degree of risk. Investors can lose all or a substantial amount of their investment. They may be highly illiquid, can engage in leverage, short-selling and other speculative practices that may increase volatility and the risk of loss, and may be subject to large investment minimums and initial lock-ups. They may involve complex tax structures, tax inefficient investing and delays in distributing important tax information. They may have higher fees and expenses that traditional investments, and such fees and expenses can lower the returns achieved by investors.
Consulting Group is a business of Morgan Stanley Smith Barney LLC.
Location
4520 Main St
8th Fl
Kansas City, MO 64111
US
Meet The 4520 Group
Sean M Platt
Senior Vice President, Financial Advisor, Financial Planning Specialist
Phone:
(816) 932-7838(816) 932-7838
Shaun M Flanigan
First Vice President, Wealth Management, Financial Advisor
Phone:
(816) 932-7691(816) 932-7691
Phone:
(816) 932-7803(816) 932-7803
Glenda Fiegl
Vice President, Group Director
Phone:
(816) 932-7813(816) 932-7813
Darrin S. Hughes
PWM Portfolio Associate
Phone:
(816) 932-7881(816) 932-7881
Danna Bartley
Portfolio Associate
Phone:
(816) 932-7872(816) 932-7872
Cherlyn P. Eberle
Senior Client Service Associate
Phone:
(816) 932-7849(816) 932-7849
About Dennis Williams
Drawing on over 40 years of investment management experience, Dennis Williams is responsible for creating and managing the team’s custom portfolio strategies. Dennis does much of his own research, digging deeply into each of the many companies he follows. Also responsible for client oversight, he believes that inclusion of the team’s proprietary investment strategies as a portion of a client’s overall portfolio may provide additional opportunities in their wealth management strategy.
Dennis started his career at the Board of Trade in Chicago in 1982. In 1985, he joined a nationally recognized brokerage firm in their Michigan Avenue office then moved to Morgan Stanley in 1988. Prior to joining The 4520 Group at Morgan Stanley in 2002, Dennis served as a national and regional Training Officer and Branch Manager of several Morgan Stanley offices including locations in the North Shore of Chicago, IL and Kansas City, MO. His breadth of experience in those areas affords him a view of the investment industry that few Financial Advisors ever see. He knows how to navigate and leverage the vast resources of large brokerage firms.
Dennis graduated from the University of Illinois with a degree in agricultural economics. He is married, has three children and is active in many philanthropic efforts.
Named to Forbes Best-In-State Wealth Advisors 2022. Forbes "Best-In-State Wealth Advisors" list, April 7th, 2022.
Named to Barron’s Top 1,200 Financial Advisors in 2022. Barron’s “America’s Top 1,200 Advisors: State-by-State” list, March 11th, 2022.
Forbes Best-In-State Wealth Advisors
Source: Forbes.com (Awarded Apr 2022) Data compiled by SHOOK Research LLC based on time period from 6/30/20 - 6/30/21.
Barron's Top 1,200 Financial Advisors: State-by-State
Source: Barron's.com (Awarded Mar 2022) Data compiled by Barron's based on time period from Sept 2020 - Sept 2021.
Dennis started his career at the Board of Trade in Chicago in 1982. In 1985, he joined a nationally recognized brokerage firm in their Michigan Avenue office then moved to Morgan Stanley in 1988. Prior to joining The 4520 Group at Morgan Stanley in 2002, Dennis served as a national and regional Training Officer and Branch Manager of several Morgan Stanley offices including locations in the North Shore of Chicago, IL and Kansas City, MO. His breadth of experience in those areas affords him a view of the investment industry that few Financial Advisors ever see. He knows how to navigate and leverage the vast resources of large brokerage firms.
Dennis graduated from the University of Illinois with a degree in agricultural economics. He is married, has three children and is active in many philanthropic efforts.
Named to Forbes Best-In-State Wealth Advisors 2022. Forbes "Best-In-State Wealth Advisors" list, April 7th, 2022.
Named to Barron’s Top 1,200 Financial Advisors in 2022. Barron’s “America’s Top 1,200 Advisors: State-by-State” list, March 11th, 2022.
Forbes Best-In-State Wealth Advisors
Source: Forbes.com (Awarded Apr 2022) Data compiled by SHOOK Research LLC based on time period from 6/30/20 - 6/30/21.
Barron's Top 1,200 Financial Advisors: State-by-State
Source: Barron's.com (Awarded Mar 2022) Data compiled by Barron's based on time period from Sept 2020 - Sept 2021.
Securities Agent: IN, IL, KY, FL, DC, AZ, AL, WI, SC, MN, CA, OR, ME, ID, IA, OK, MO, CO, TX, TN, AR, WY, OH, NC, GA, VA, PA, VT, MA, DE, NM, NE, MD, HI, NV, WA, SD, NY, MI, KS; BM/Supervisor; General Securities Representative; Investment Advisor Representative; Transactional Futures/Commodities; Managed Futures
About Sean M Platt
Sean Platt began his professional career in 1992 as a staff accountant at Arthur Andersen, where he helped unwind subsidiaries of failed savings and loans during the Savings and Loan Crisis. He joined Smith Barney in January 1993 as a Regional Technical Analyst, identifying money managers to fill specific portfolio needs. In this role, he worked with hundreds of Financial Advisors throughout the Midwest. He was promoted to Senior Regional Analyst, responsible for overseeing other technical analysts in the Midwest region. Moving to Morgan Stanley’s Consulting Group in New York, Sean became an Internal Auditor, monitoring the analysts who support high-producing Financial Advisors, and gaining first-hand knowledge of how top-tier teams around the country operate.
Sean joined The 4520 Group (formerly The Clevenger Group) in February 2002 where he currently works as a private wealth advisor to the Group’s high net worth and institutional clients. His wide-ranging background enhances the Group’s ability to deliver comprehensive wealth management solutions to our clients, ultimately helping them make informed investment decisions with customized advice so that they can achieve their individual goals at every life stage. Sean now has spent more than 30 years with Morgan Stanley and its predecessor firms.
Sean graduated from the University of Alabama-Huntsville in 1991 with a degree in Finance. Sean is a native of Kansas City and his four children keep him closely tied to the community where they support many local philanthropic interests in Kansas City including the Willa Gill (St. Mary’s) Food Kitchen and Harvesters, amongst others.
Sean joined The 4520 Group (formerly The Clevenger Group) in February 2002 where he currently works as a private wealth advisor to the Group’s high net worth and institutional clients. His wide-ranging background enhances the Group’s ability to deliver comprehensive wealth management solutions to our clients, ultimately helping them make informed investment decisions with customized advice so that they can achieve their individual goals at every life stage. Sean now has spent more than 30 years with Morgan Stanley and its predecessor firms.
Sean graduated from the University of Alabama-Huntsville in 1991 with a degree in Finance. Sean is a native of Kansas City and his four children keep him closely tied to the community where they support many local philanthropic interests in Kansas City including the Willa Gill (St. Mary’s) Food Kitchen and Harvesters, amongst others.
Securities Agent: WI, WY, TX, MO, KY, SD, NC, WA, PA, CA, VA, OR, OK, NE, MI, ME, IN, CO, AL, MD, AR, ID, HI, FL, DC, AZ, NV, TN, SC, NM, MA, DE, NY, IA, VT, OH, MN, KS, IL, GA; General Securities Representative; Investment Advisor Representative; Managed Futures
NMLS#: 1393589
NMLS#: 1393589
About Shaun M Flanigan
Drawing on almost 18 years of experience with The 4520 Group at Morgan Stanley, Shaun Flanigan employs his vast knowledge of the firm’s extensive products and services to deliver value to his client relationships. Shaun utilizes the firm’s resources such as financial planning, asset allocation, lending solutions, and other areas to address client’s needs and goals with the
development and implementation of highly customized investment strategies. Shaun also provides oversight of the team’s syndicate program.
Shaun graduated from Kansas State University in 2003 earning a degree in business administration with a dual emphasis in accounting and finance. After interning at the Smith Barney Leawood office in the spring of 2004, he began his professional career joining the Smith Barney Plaza office later that year and went on to earn his Series 7, 31, 63 and 66 licenses.
He and his wife, Katherine, currently live in Westwood, Kansas with their four children. He is a sports enthusiast and enjoys coaching his children’s soccer, basketball, and baseball teams. In addition to coaching sports, Shaun has served as a board member on the educational enhancement foundation for his neighborhood’s elementary school.
Asset Allocation does not assure a profit or protect against loss in declining financial markets.
development and implementation of highly customized investment strategies. Shaun also provides oversight of the team’s syndicate program.
Shaun graduated from Kansas State University in 2003 earning a degree in business administration with a dual emphasis in accounting and finance. After interning at the Smith Barney Leawood office in the spring of 2004, he began his professional career joining the Smith Barney Plaza office later that year and went on to earn his Series 7, 31, 63 and 66 licenses.
He and his wife, Katherine, currently live in Westwood, Kansas with their four children. He is a sports enthusiast and enjoys coaching his children’s soccer, basketball, and baseball teams. In addition to coaching sports, Shaun has served as a board member on the educational enhancement foundation for his neighborhood’s elementary school.
Asset Allocation does not assure a profit or protect against loss in declining financial markets.
Securities Agent: ME, FL, NV, WA, VA, NY, MA, AZ, SC, DE, CA, AL, NE, KS, ID, OR, OH, WY, GA, NC, MO, CO, AR, TX, PA, MD, WI, SD, MN, IN, IA, HI, VT, OK, NM, IL, DC, TN, MI; General Securities Representative; Investment Advisor Representative; Managed Futures
NMLS#: 2222314
NMLS#: 2222314
About Michael Williams
A designated Morgan Stanley Family Wealth Director, Michael Williams is dedicated to creating and maintaining fully comprehensive wealth management plans based on each client’s specific needs and goals. Michael often works with the younger members of the team’s multigenerational clients, helping them make and implement informed investment and planning decisions.
Michael joined the team in 2016 after graduating from the University of Missouri–Columbia, where he studied health science and business. He had previously interned with Morgan Stanley during the summer of 2012. In 2021, Michael became a member of the firm’s Pacesetters Club, a global recognition program for Financial Advisors who, early in their career, have demonstrated the highest professional standards and first-class client service.
Michael and his wife, Nancy, live with their son and daughter in Kansas City. Michael is active in the community, volunteering with several organizations. In his free time, he likes getting outdoors, hunting, fishing and exercising.
Michael joined the team in 2016 after graduating from the University of Missouri–Columbia, where he studied health science and business. He had previously interned with Morgan Stanley during the summer of 2012. In 2021, Michael became a member of the firm’s Pacesetters Club, a global recognition program for Financial Advisors who, early in their career, have demonstrated the highest professional standards and first-class client service.
Michael and his wife, Nancy, live with their son and daughter in Kansas City. Michael is active in the community, volunteering with several organizations. In his free time, he likes getting outdoors, hunting, fishing and exercising.
Securities Agent: DE, KS, AL, IN, MO, WI, VA, TN, IA, HI, NV, NM, ID, AZ, VT, UT, CA, SC, PA, OH, NC, GA, DC, SD, NY, NE, IL, FL, OR, OK, MN, MI, TX, MD, CO, AR, WA, ME, MA; General Securities Representative; Investment Advisor Representative
Contact Dennis Williams
Contact Sean M Platt
Contact Shaun M Flanigan
Contact Michael Williams
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1Asset Allocation does not assure a profit or protect against loss in declining financial markets.
2Investing in the market entails the risk of market volatility. The value of all types of investments may increase or decrease over varying time periods. The returns on a portfolio consisting primarily of sustainable or impact investments may be lower or higher than a portfolio that is more diversified or where decisions are based solely on investment considerations. Because sustainability and impact criteria exclude some investments, investors may not be able to take advantage of the same opportunities or market trends as investors that do not use such criteria.
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
4Borrowing against securities may not be appropriate for everyone. You should be aware that there are risks associated with a securities based loan, including possible maintenance calls on short notice, and that market conditions can magnify any potential for loss. For details please see the important disclosures below.
Securities based loans are provided by Morgan Stanley Smith Barney LLC, Morgan Stanley Private Bank, National Association or Morgan Stanley Bank, N.A, as applicable.
Important Risk Information for Securities Based Lending: You need to understand that: (1) Sufficient collateral must be maintained to support your loan(s) and to take future advances; (2) You may have to deposit additional cash or eligible securities on short notice; (3) Some or all of your securities may be sold without prior notice in order to maintain account equity at required maintenance levels. You will not be entitled to choose the securities that will be sold. These actions may interrupt your long-term investment strategy and may result in adverse tax consequences or in additional fees being assessed; (4) Morgan Stanley Bank, N.A., Morgan Stanley Private Bank, National Association or Morgan Stanley Smith Barney LLC (collectively referred to as “Morgan Stanley”) reserves the right not to fund any advance request due to insufficient collateral or for any other reason except for any portion of a securities based loan that is identified as a committed facility; (5) Morgan Stanley reserves the right to increase your collateral maintenance requirements at any time without notice; and (6) Morgan Stanley reserves the right to call securities based loans at any time and for any reason.
With the exception of a margin loan, the proceeds from securities based loan products may not be used to purchase, trade, or carry margin stock (or securities, with respect to Express CreditLine); repay margin debt that was used to purchase, trade or carry margin stock (or securities, with respect to Express CreditLine); and cannot be deposited into a Morgan Stanley Smith Barney LLC or other brokerage account.
To be eligible for a securities based loan, a client must have a brokerage account at Morgan Stanley Smith Barney LLC that contains eligible securities, which shall serve as collateral for the securities based loan.
Morgan Stanley Smith Barney LLC does not accept appointments nor will it act as a trustee but it will provide access to trust services through an appropriate third-party corporate trustee.
Asset Allocation does not assure a profit or protect against loss in declining financial markets.
The securities/instruments, investments and investment strategies discussed on this website may not be suitable for all investors. The appropriateness of a particular investment or investment strategy will depend on an investor's individual circumstances and objectives. The views and opinions expressed on this website may not necessarily reflect those of Morgan Stanley Smith Barney LLC (“Morgan Stanley”). This website and its associated content are intended for U.S. residents only.
Morgan Stanley and its Private Wealth Advisors do not provide tax or legal advice. Visitors to this website should consult their tax advisor for matters involving taxation and tax planning and their attorney for matters involving trust and estate planning and other legal matters.
Morgan Stanley Private Wealth Advisers may only transact business in states where they are registered or excluded or exempted from registration. Transacting business, follow-up and individualized responses involving either effecting or attempting to effect transactions in securities, or the rendering of personalized investment advice for compensation, will not be made to persons in states where Morgan Stanley Private Wealth Advisers are not registered or excluded or exempt from registration.
See the Financial Advisors Biographies for Registration and Licensing information.
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Lifestyle Advisory Services: Products and services are provided by third party service providers, not Morgan Stanley Smith Barney LLC (“Morgan Stanley”). Morgan Stanley may not receive a referral fee or have any input concerning such products or services. There may be additional service providers for comparative purposes. Please perform a thorough due diligence and make your own independent decision.
Private Bankers are employees of Morgan Stanley Private Bank, National Association.
Morgan Stanley Smith Barney LLC is a registered Broker/Dealer, Member SIPC, and not a bank. Where appropriate, Morgan Stanley Smith Barney LLC has entered into arrangements with banks and other third parties to assist in offering certain banking related products and services.
Investment, insurance and annuity products offered through Morgan Stanley Smith Barney LLC are: NOT FDIC INSURED | MAY LOSE VALUE | NOT BANK GUARANTEED | NOT A BANK DEPOSIT | NOT INSURED BY ANY FEDERAL GOVERNMENT AGENCY
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2Investing in the market entails the risk of market volatility. The value of all types of investments may increase or decrease over varying time periods. The returns on a portfolio consisting primarily of sustainable or impact investments may be lower or higher than a portfolio that is more diversified or where decisions are based solely on investment considerations. Because sustainability and impact criteria exclude some investments, investors may not be able to take advantage of the same opportunities or market trends as investors that do not use such criteria.
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
4Borrowing against securities may not be appropriate for everyone. You should be aware that there are risks associated with a securities based loan, including possible maintenance calls on short notice, and that market conditions can magnify any potential for loss. For details please see the important disclosures below.
Securities based loans are provided by Morgan Stanley Smith Barney LLC, Morgan Stanley Private Bank, National Association or Morgan Stanley Bank, N.A, as applicable.
Important Risk Information for Securities Based Lending: You need to understand that: (1) Sufficient collateral must be maintained to support your loan(s) and to take future advances; (2) You may have to deposit additional cash or eligible securities on short notice; (3) Some or all of your securities may be sold without prior notice in order to maintain account equity at required maintenance levels. You will not be entitled to choose the securities that will be sold. These actions may interrupt your long-term investment strategy and may result in adverse tax consequences or in additional fees being assessed; (4) Morgan Stanley Bank, N.A., Morgan Stanley Private Bank, National Association or Morgan Stanley Smith Barney LLC (collectively referred to as “Morgan Stanley”) reserves the right not to fund any advance request due to insufficient collateral or for any other reason except for any portion of a securities based loan that is identified as a committed facility; (5) Morgan Stanley reserves the right to increase your collateral maintenance requirements at any time without notice; and (6) Morgan Stanley reserves the right to call securities based loans at any time and for any reason.
With the exception of a margin loan, the proceeds from securities based loan products may not be used to purchase, trade, or carry margin stock (or securities, with respect to Express CreditLine); repay margin debt that was used to purchase, trade or carry margin stock (or securities, with respect to Express CreditLine); and cannot be deposited into a Morgan Stanley Smith Barney LLC or other brokerage account.
To be eligible for a securities based loan, a client must have a brokerage account at Morgan Stanley Smith Barney LLC that contains eligible securities, which shall serve as collateral for the securities based loan.
Morgan Stanley Smith Barney LLC does not accept appointments nor will it act as a trustee but it will provide access to trust services through an appropriate third-party corporate trustee.
Asset Allocation does not assure a profit or protect against loss in declining financial markets.
The securities/instruments, investments and investment strategies discussed on this website may not be suitable for all investors. The appropriateness of a particular investment or investment strategy will depend on an investor's individual circumstances and objectives. The views and opinions expressed on this website may not necessarily reflect those of Morgan Stanley Smith Barney LLC (“Morgan Stanley”). This website and its associated content are intended for U.S. residents only.
Morgan Stanley and its Private Wealth Advisors do not provide tax or legal advice. Visitors to this website should consult their tax advisor for matters involving taxation and tax planning and their attorney for matters involving trust and estate planning and other legal matters.
Morgan Stanley Private Wealth Advisers may only transact business in states where they are registered or excluded or exempted from registration. Transacting business, follow-up and individualized responses involving either effecting or attempting to effect transactions in securities, or the rendering of personalized investment advice for compensation, will not be made to persons in states where Morgan Stanley Private Wealth Advisers are not registered or excluded or exempt from registration.
See the Financial Advisors Biographies for Registration and Licensing information.
Certified Financial Planner™ Board of Standards Inc. owns the certification marks CFP®, CERTIFIED FINANCIAL PLANNER™ and CFP® (with flame logo)® in the U.S., which it awards to individuals who successfully complete CFP® Board's initial and ongoing certification requirements.
Investment Management Consultants Association, Inc. owns the marks CIMA®, Certified Investment Management Analyst® (with graph element)®, and Certified Investment Management Analyst® .
Morgan Stanley Smith Barney LLC offers insurance products in conjunction with its licensed insurance agency affiliates.
Life insurance, disability income insurance, and long-term care insurance are offered through Morgan Stanley Smith Barney LLC's licensed insurance agency affiliates.
Lifestyle Advisory Services: Products and services are provided by third party service providers, not Morgan Stanley Smith Barney LLC (“Morgan Stanley”). Morgan Stanley may not receive a referral fee or have any input concerning such products or services. There may be additional service providers for comparative purposes. Please perform a thorough due diligence and make your own independent decision.
Private Bankers are employees of Morgan Stanley Private Bank, National Association.
Morgan Stanley Smith Barney LLC is a registered Broker/Dealer, Member SIPC, and not a bank. Where appropriate, Morgan Stanley Smith Barney LLC has entered into arrangements with banks and other third parties to assist in offering certain banking related products and services.
Investment, insurance and annuity products offered through Morgan Stanley Smith Barney LLC are: NOT FDIC INSURED | MAY LOSE VALUE | NOT BANK GUARANTEED | NOT A BANK DEPOSIT | NOT INSURED BY ANY FEDERAL GOVERNMENT AGENCY
Awards Disclosures
CRC 6295606 (3/2024)
