James B Schlueter
Managing Director, Private Wealth Management, Private Wealth Advisor, International Client Advisor
Phone:
(415) 576-2100(415) 576-2100
Morgan Stanley Private Wealth Management
The Appleton Schlueter Group
Our Mission Statement
Our mission is to protect and responsibly grow the wealth that our clients have created while providing best in class service.
Welcome
Welcome to The Appleton Schlueter Group at Morgan Stanley Private Wealth Management. Our mission is to preserve and responsibly grow the wealth that our clients have created while providing best in class service. Our 7-person team traces its roots back to 1984, and the four investment partners collectively have over 100 years of combined experience at Morgan Stanley. We work globally with ultra high net worth individuals, family offices, private companies, athletes, and foundations. With over $4 billion in current client assets, we construct custom portfolios and financial plans tailored to each client’s unique circumstances.
Our team combines the look and feel of a boutique investment firm with the institutional capabilities and access that comes with a top financial institution. We work closely with senior Morgan Stanley colleagues in institutional securities and investment management to ensure that clients are utilizing the full capabilities of the firm.
We are proud of the global network and brand that we have built from Asia to California and Texas to New York. We look forward to meeting you and learning more about your story, your needs, and how we can help.
Our team combines the look and feel of a boutique investment firm with the institutional capabilities and access that comes with a top financial institution. We work closely with senior Morgan Stanley colleagues in institutional securities and investment management to ensure that clients are utilizing the full capabilities of the firm.
We are proud of the global network and brand that we have built from Asia to California and Texas to New York. We look forward to meeting you and learning more about your story, your needs, and how we can help.
Capabilities
- Comprehensive Wealth Planning
- Investment Management
- Pre-Liquidity Planning
- Family Governance & Wealth Education
- Philanthropy Management
- Proprietary Investment Opportunities
- Sustainable & Responsible InvestingFootnote1
- Manager Selection
- Risk Management
- Consolidated Reporting
- 10b5-(1) Programs
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 350 teams1 specialized in assisting individuals and families with $20MM+ in investable assets
- Over $980 billion in AUM1
- Comprising 23% of the Barron’s Top 250 Private Wealth Management Teams for 2024
- 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, 2024
Source: Barron's.com (May 2024) 2024 Barron's Top 250 Private Wealth Management Teams awarded in 2024. The teams are ranked on a variety of factors, including their size and shape, their regulatory records and credentials of their members, and the resources they have at their disposal to serve their client bases. The rankings are meant as a starting point for clients looking for an advisor—a first-pass vetting that can help investors narrow a search. Every advisor will have his or her own approach to investing, financial planning, and other services. Clients are encouraged to approach a search for an advisor the way they would a search for a doctor—interviewing multiple professionals and getting opinions from multiple third parties. 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.
Our Approach
Step 1) 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.
Step 2) 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.
Step 3) 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.
Step 4) 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.
Step 5) 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.
Step 6) 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.
Private Company Services
Given our team’s long tenure at Morgan Stanley and our closeness to the broader firm, we encourage clients and startup executives to use us as a primary resource for all the various private company services. We can serve as an ambassador to the broader firm.
Corporate Cash Management
Pursuant to an Investment Policy Statement, we provide customized fixed income solution for a startup’s excess balance sheet capital.
Shareworks by Morgan Stanley
Shareworks provides private and public companies with a wide range of equity compensation solutions from cap table management, tender offers, and employee financial literacy
Click to learn moreInvestment Banking & Capital Raising
Morgan Stanley Investment Banking has a global expertise in market analysis and in advisory and capital-raising services for corporations, institutions and governments.
Click to learn moreInstitutional Equity Research & Market Insights
Through timely, in-depth analysis of companies, industries, markets, and world economies, Morgan Stanley has earned its reputation as a leader in the field of investment research
Reach out with specific inquiries.
Reach out with specific inquiries.
Client Breakdown
· 30% Technology & Venture Capital
· 20% Financial Services
· 20% Real Estate & Private Equity
· 15% Family Offices
· 15% Sports/Media/Entertainment
· 20% Financial Services
· 20% Real Estate & Private Equity
· 15% Family Offices
· 15% Sports/Media/Entertainment
Entrepreneurs
As an entrepreneur, you have devoted your career to building your enterprise. Now, it is time to plan for what comes next: enjoying the substantial rewards of your success, spending more time with your family and pursuing new challenges.
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International Wealth Management
Combining their investment knowledge with the global resources and intellectual capital of Morgan Stanley, International Wealth Management delivers relevant solutions that could help appropriate clients pursue their personal, familial and community goals. We work with client across the globe but have strong presence in Australia, Hong Kong, Tokyo, Canada.
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Family Office Resources
We offer extensive specialized resources for UHNW clients in trust and estate planning, family governance, wealth education, family office management, philanthropy management, private banking and wealth planning for art and collectibles.
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Global Sports and Entertainment
As members of the Morgan Stanley Global Sports & Entertainment division we’re given advanced education & resources to address the career and financial complexities of veteran and emerging talent. Our access to premier programming, division support and specialized consultants allows us to deliver a custom experience to our clients.
Click to learn moreLocation
555 California Street, 14th
Fl
San Francisco, CA 94104
US
Direct:
(415) 576-2004(415) 576-2004
2725 Sand Hill Rd
Ste 100.
Menlo Park, CA 94025
US
1585 Broadway St.
21st Fl.
New York, NY 10036
US
Meet The Appleton Schlueter Group
Michael Appleton, CIMA®
Managing Director, Private Wealth Management, Private Wealth Advisor, International Client Advisor
Phone:
(415) 576-2119(415) 576-2119
Scott Lamson
Senior Vice President, Private Wealth Advisor, Global Sports and Entertainment Director
Phone:
(415) 576-2120(415) 576-2120
Michael Siegel
Private Wealth Advisor, Senior Vice President
Phone:
(415) 576-2111(415) 576-2111
Nicole Landry
Senior Vice President, Group Director
Phone:
(415) 576-2117(415) 576-2117
Zack Epstein
Private Wealth Management Associate
Phone:
(415) 576-3140(415) 576-3140
Erin Richardson
Client Service Associate
Phone:
(415) 576-2398(415) 576-2398
About James B Schlueter
Jim has over 40 years of experience at Morgan Stanley, having worked in five cities and on three continents. Aside from working as a Private Wealth Advisor for ten years previously, he has held several senior management positions at the firm, including co-head of U.S. Private Wealth Management. Additionally, Jim was head of International Wealth Management in Hong Kong and Tokyo and Head of Strategic Client Management, which helps connect the institutional securities group to the wealth management division. He rejoined the Appleton Schlueter Group in San Francisco in 2011.
Jim received an M.B.A from the University of Oregon and a B.S. in Economics from U.C. Santa Cruz.
In his free time, Jim enjoys outdoor activities at his family's ranch in Bend, OR, golfing, skiing, traveling, and watching his favorite sports team, the Green Bay Packers. He lives in San Francisco with his wife, Laura, and has three grown daughters.
Jim received an M.B.A from the University of Oregon and a B.S. in Economics from U.C. Santa Cruz.
In his free time, Jim enjoys outdoor activities at his family's ranch in Bend, OR, golfing, skiing, traveling, and watching his favorite sports team, the Green Bay Packers. He lives in San Francisco with his wife, Laura, and has three grown daughters.
Securities Agent: FL, KY, NE, PA, NV, TN, VT, ID, WY, WA, VA, UT, TX, SD, SC, RI, OR, OH, NY, NM, NJ, NH, NC, MO, MN, MI, ME, MD, MA, KS, IN, IL, IA, HI, GA, DE, CT, CO, CA, AZ, AL, AK, AR, DC, LA, MS, MT, ND, OK, PR, VI, WI, WV; BM/Supervisor; General Securities Principal; General Securities Representative; Investment Advisor Representative
NMLS#: 1274666
NMLS#: 1274666
About Michael Appleton
Mike has over 25 years of experience in investment consulting, having joined Morgan Stanley in 1997. Mike initially joined Morgan Stanley’s Consulting Group before becoming an advisor in 2003. Mike's primary responsibility is asset allocation and manager selection.
Mike received a B.A in Economics from Saint Mary's College of California.
In his free time, he enjoys music, traveling, and the Saint Mary's Gaels basketball team! Mike lives in Moraga with his wife, Andrea, his three children, Allie, Avery, & Peter, their dog Ruby and Bruno the cat.
Mike received a B.A in Economics from Saint Mary's College of California.
In his free time, he enjoys music, traveling, and the Saint Mary's Gaels basketball team! Mike lives in Moraga with his wife, Andrea, his three children, Allie, Avery, & Peter, their dog Ruby and Bruno the cat.
Securities Agent: WI, WV, AL, AZ, CA, CO, CT, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, MA, MD, ME, MI, MN, MO, NC, NE, NH, NJ, NM, NV, NY, OH, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WY, AK, AR, DC, LA, MS, MT, ND, OK, PR, VI; General Securities Representative; Investment Advisor Representative
NMLS#: 1295612
NMLS#: 1295612
About Scott Lamson
Scott is a Private Wealth Advisor with Morgan Stanley’s Private Wealth Management Division, having originally joined Morgan Stanley in 2014. In addition to daily client coverage, Scott co-manages the municipal bond portfolios and alternative manager selection. Additionally, he leads the team’s Global Sports & Entertainment and Morgan Stanley @ Work coverage. Prior to his current role, Scott worked in Fixed Income Capital Markets, implementing custom fixed income strategies for UHNW clients.
Scott graduated cum laude from Duke University, where he was the head basketball manager for legendary coach Mike Krzyzewski. Scott currently sits on Duke's Norcal Alumni Board. In addition, he is a Board Director for Ranchin’ Vets nonprofit, which aims to help post 9/11 veterans earn jobs in agriculture.
A native to San Francisco, Scott enjoys competitive sailing on the bay, golfing, and spending time with his large extended family. Scott lives in Oakland with his wife, Mary, and two young daughters.
Scott graduated cum laude from Duke University, where he was the head basketball manager for legendary coach Mike Krzyzewski. Scott currently sits on Duke's Norcal Alumni Board. In addition, he is a Board Director for Ranchin’ Vets nonprofit, which aims to help post 9/11 veterans earn jobs in agriculture.
A native to San Francisco, Scott enjoys competitive sailing on the bay, golfing, and spending time with his large extended family. Scott lives in Oakland with his wife, Mary, and two young daughters.
Securities Agent: AK, AR, DC, LA, MS, MT, ND, OK, PR, VI, WI, WV, WY, TN, VT, PA, NV, ID, KY, MI, WA, VA, UT, TX, SD, SC, RI, OR, OH, NY, NM, NJ, NH, NE, NC, MO, MN, ME, MD, MA, KS, IN, IL, IA, HI, GA, FL, DE, CT, CO, CA, AZ, AL; General Securities Representative; Investment Advisor Representative
NMLS#: 1787000
NMLS#: 1787000
About Michael Siegel
Michael is a Private Wealth Advisor in the Private Wealth Management division of Morgan Stanley. He has been with Morgan Stanley for over 20 years, having originally joined the firm in 1998. In this role, in addition to daily client coverage, he oversees investment of both our managed US equity and municipal bond portfolios, as well as implementation of our asset allocation models.
Michael graduated cum laude with a B.A. in Economics‐Mathematics from Colby College and completed the General Course in Mathematics at the London School of Economics.
In his free time, he enjoys spending time outdoors; mostly skiing in Lake Tahoe, CA or swimming. He also enjoys reading historical non-fiction and traveling with his family. Michael lives in Piedmont, CA with his wife, Jennifer, and their three daughters.
Michael graduated cum laude with a B.A. in Economics‐Mathematics from Colby College and completed the General Course in Mathematics at the London School of Economics.
In his free time, he enjoys spending time outdoors; mostly skiing in Lake Tahoe, CA or swimming. He also enjoys reading historical non-fiction and traveling with his family. Michael lives in Piedmont, CA with his wife, Jennifer, and their three daughters.
Securities Agent: AZ, AL, AK, AR, WY, WV, WI, WA, VT, VI, VA, UT, TX, TN, SD, SC, RI, PR, PA, OR, OK, OH, NY, NV, NM, NJ, NH, NE, ND, NC, MT, MS, MO, MN, MI, ME, MD, MA, LA, KY, KS, IN, IL, ID, IA, HI, GA, FL, DE, DC, CT, CO, CA; General Securities Representative; Investment Advisor Representative
NMLS#: 2455107
NMLS#: 2455107
About Nicole Landry
Nicole is a Senior Vice President in the Private Wealth Management division of Morgan Stanley where she serves as the team’s Group Director. In this role, she leads and manages the support team, which includes account management, operations, financial planning, portfolio implementation, and daily client coverage.
Nicole graduated with a B.A in Economics from UC Berkeley and originally joined Morgan Stanley in 2000.
She lives in Petaluma, CA with her two sons. If Nicole's not attending one of her son's sports games, she enjoys exploring and hiking in Sonoma County with her dog, Bear.
Securities Agent: AZ, CA, CO, CT, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, MA, MD, ME, MI, MS, NC, NE,NH, NJ, NM, NV, NY, OH, OR, PA, RI, SC, TN, TX, UT, VA, VT, WA, WY. General Securities Representative, Investment Advisor Representative
Nicole graduated with a B.A in Economics from UC Berkeley and originally joined Morgan Stanley in 2000.
She lives in Petaluma, CA with her two sons. If Nicole's not attending one of her son's sports games, she enjoys exploring and hiking in Sonoma County with her dog, Bear.
Securities Agent: AZ, CA, CO, CT, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, MA, MD, ME, MI, MS, NC, NE,NH, NJ, NM, NV, NY, OH, OR, PA, RI, SC, TN, TX, UT, VA, VT, WA, WY. General Securities Representative, Investment Advisor Representative
About Zack Epstein
Zack began his career at Morgan Stanley in 2019 as a client service associate and was promoted in 2024 to a Private Wealth Associate. In this role, Zack handles daily client coverage and leads the teams efforts in financial planning, 10b5-1 selling strategies, trading, and performance reporting
Zack graduated from the University of California, Santa Cruz with a B.A in Business Management Economics.
A Bay Area native, he currently lives in San Francisco with his wife, Sejla. In his spare time, Zack enjoys traveling, fishing, and playing recreational sports.
Zack graduated from the University of California, Santa Cruz with a B.A in Business Management Economics.
A Bay Area native, he currently lives in San Francisco with his wife, Sejla. In his spare time, Zack enjoys traveling, fishing, and playing recreational sports.
About Erin Richardson
Erin joined Morgan Stanley’s Private Wealth Management division in 2024 as a Client Service Associate, where she supports the team in comprehensive client account management and daily business operations.
Erin holds a B.A. in Economics from the University of California, Berkeley and earned an M.S. in Entrepreneurship & Innovation from the University of San Francisco.
Erin is an accomplished Tennis player having served as Team Captain for UC Berkeley and USF. Throughout her career, she competed at Junior Wimbledon, played for the Great Britain National team, and won two Pac 12 Championships. She now plays tennis for the Olympic Club in San Francisco.
Originally from England, Erin now lives in San Francisco where she enjoys maintaining an active lifestyle, exploring new travel destinations, and rooting on her hometown football club, AFC Bournemouth.
Erin holds a B.A. in Economics from the University of California, Berkeley and earned an M.S. in Entrepreneurship & Innovation from the University of San Francisco.
Erin is an accomplished Tennis player having served as Team Captain for UC Berkeley and USF. Throughout her career, she competed at Junior Wimbledon, played for the Great Britain National team, and won two Pac 12 Championships. She now plays tennis for the Olympic Club in San Francisco.
Originally from England, Erin now lives in San Francisco where she enjoys maintaining an active lifestyle, exploring new travel destinations, and rooting on her hometown football club, AFC Bournemouth.
Contact James B Schlueter
Contact Michael Appleton
Contact Scott Lamson
Contact Michael Siegel
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- Lifestyle Advisory
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Thought Leadership for our ultra high net worth clients, which contains thought-provoking articles, authored by leading experts from Morgan Stanley Family Office Resources.
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.
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- Lifestyle Advisory
We look forward to discussing your needs and goals, and the exceptional resources we can place at your disposal.
1Investing 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.
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.
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.
For more information, please see the Morgan Stanley Smith Barney LLC Client Relationship Summary.
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
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.
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.
For more information, please see the Morgan Stanley Smith Barney LLC Client Relationship Summary.
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 4237142 (02/2025)