Brian P Mavor
Senior Vice President, Financial Advisor, Investment Management Consultant, Financial Planning Specialist
Phone:
(207) 771-0826(207) 771-0826
The Blakeman/Mavor Group at Morgan Stanley
Direct:
(207) 771-0800(207) 771-0800
Toll-Free:
(800) 442-6722(800) 442-6722
Our Mission Statement
The Blakeman Mavor Group is known for their heritage of helping clients to achieve clarity and direction in their financial life.
About Us
Our group has developed a wealth management process with a client service experience that is specifically designed for each family's situation, often spanning multiple generations.
We analyze individual and family implications for both the near and long term, asking questions and listening closely, seeking to understand and working to guard our client's wealth.
We believe that simply investing in the market is not enough; knowing how to preserve what you have created, managing your current lifestyle and planning for the future you desire can help provide more confidence.
The Blakeman/Mavor Group has been recognized by Forbes as a Best-In-State Wealth Management Team in Maine for 2025. Both Eric & Brian were also individually recognized by Forbes as Best-In-State Wealth Advisors in Maine for 2025.
Forbes Best-In-State Wealth Management Team: Maine - The Blakeman/Mavor Group
2025 Forbes Best-In-State Wealth Management Teams
Source: Forbes.com (Awarded 2025). Data compiled by SHOOK Research LLC based on 12-month time period concluding in March of year prior to the issuance of the award.
Forbes Best-In-State Wealth Advisors: Maine - Eric Blakeman & Brian Mavor
2025 Forbes Best-In-State Wealth Advisors
Source: Forbes (Awarded April 2025). Data compiled by SHOOK Research LLC based for the period 6/30/23–6/30/24. https://www.morganstanley.com/what-we-do/wealth-management/forbes-top-wealth-advisors-lists-2025
Check the background of Our Firm and Investment Professionals on FINRA's BrokerCheck.*
Financial Planning Process
Because no two people are alike, your investment portfolio should be tailored to reflect your personal values and objectives. The Blakeman/Mavor Group is dedicated to customizing each portfolio in order to help you achieve your individual goals, balancing your comfort for risk or volatility with your desire for return. Specifically, you can count on our team of professionals to work closely with you in the following manner:
1. Introduction
We begin the Financial Planning process by getting to know you in order to uncover your financial concerns and determine how we can add value as your Financial Advisors. If we all agree to embark in the financial planning relationship, we will schedule our next meeting to gather some necessary financial information from you and determine your short and long-term goals.
2. Discovery & Goals
We continue our process by fostering an in depth conversation where we are able to thoroughly understand the values that shape your decisions and goals for the future. In this meeting we will also begin to gather important documents from you that will be necessary in creating a personalized and accurate Financial Plan.
3. Analysis & Plan Development
In this step, we utilize Morgan Stanley's proprietary financial planning software, LifeView, to develop a customized and comprehensive plan with specific recommendations and strategies to help you grow, preserve, and transfer your wealth to the next generation. We take all of the information we have collected during our Discovery Meeting to create a roadmap to financial success.
4. Implementation & Monitoring
With implementation, we present you with the strategies and recommendations that we have created specifically for your situation in order for you to achieve your goals. We then will work together to put the suggested strategies into action. As your Financial Advisors, we are committed to putting clients first. We will regularly monitor your Financial Plan to make sure you are always on track to achieving your goals. As situations change, know that we are always ready to discuss any changes that need to be made to your plan to make sure that your plan is always aligned with your financial goals.
Financial Planning Brochure
Using a suite of tools that includes goal-specific
analysis, your Financial Advisor can work with you
to create a realistic, holistic strategy that integrates
the various aspects of your financial life, including
your investments and cash management needs.
Your Financial Advisor can then work with you,
suggesting modifications as needed to help keep your
goals in reach and your strategy on the right course.
Learn Moreanalysis, your Financial Advisor can work with you
to create a realistic, holistic strategy that integrates
the various aspects of your financial life, including
your investments and cash management needs.
Your Financial Advisor can then work with you,
suggesting modifications as needed to help keep your
goals in reach and your strategy on the right course.
The first four links below provide detailed analysis on interesting topics that are affecting the finance and business worlds today.
As your advisors, we want to provide ample resources and helpful tips regarding tax-efficient strategies so that our clients can be knowledgeable about market outlooks and other valuable information.
As your advisors, we want to provide ample resources and helpful tips regarding tax-efficient strategies so that our clients can be knowledgeable about market outlooks and other valuable information.
Thoughts on the Market Podcast
With perspectives on the forces shaping the market, Mike Wilson, Chief Investment Officer and Chief US Equity Strategist for Morgan Stanley, and his colleagues discuss a variety of viewpoints regarding the latest trends in the financial marketplace.
Listen Now
Investment Research
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.
Latest Research from the Firm
Morgan Stanley Ideas Podcast
From the use of satellite data technology to solve some of the world's most complex problems, to learning how not to follow the crowd when making decisions, The Morgan Stanley Ideas Podcast brings you revealing stories about the world of business, finance, technology and beyond. Click the link below for more information and to access a library of interesting content.
Latest Episode
Reserved Insights
Curated insights and articles spanning such topics as Family, Lifestyle, Health & Planning, Travel, and Giving Back.
Browse the Latest Reserved Insights
Tax-Efficient Strategies: Top Strategies
Tax strategies can have a surprisingly large potential impact on lifetime wealth accumulation. Take a look at some of the techniques that could help you keep more of what you earn, and keep it growing.
Learn More About The Tax-Smart Portfolio
Four Key Tax Questions For Investors To Consider
Factoring the impact of taxes into your investment decisions can help you keep more of your hard-earned money, both now and in the future. Consider these four questions to determine how you can best build and preserve your wealth.
See The Four Key Questions
2025 Tax Tables
Utilize the link below if you are interested in seeing the updated tax tables and other related information for 2025.
View the 2025 Tax Tables
Retirement Investing: Tax-Efficient Strategies
Smart tax planning can help you save more for retirement and keep more of what you've already saved so that you can enjoy the retirement you have always envisioned. Consider these tax-efficient retirement planning strategies to ensure you stay on track to achieving your financial goals.
Learn More About Investing For RetirementModern Wealth Management Tools
Morgan Stanley's comprehensive suite of digital tools that are designed to enhance every aspect of your financial portfolio. Here are a few examples of the many Modern Wealth Management resources that are offered to our clients.
Morgan Stanley Online
Morgan Stanley Online (MSO) offers a suite of features and services that allow you to manage your everyday finances from one place. Everything accessible under one platform to assist staying on top of all your financial accounts.
Click Here To Login or Register for Morgan Stanley Online
Online Security Center
At Morgan Stanley, we value safeguarding your assets and personal information from outside threats. We encourage to read about our security measures and the use of our resources to protect you.
Learn More About Our Security Measures
eDelivery
Sign up for eDelivery today and start receiving email notifications as soon as your account documents are available on Morgan Stanley Online or the Morgan Stanley Mobile App. It's quick, convenient & secure.
Enroll Today
Portfolio Risk Platform
Our Portfolio Risk Platform is powered by Blackrock's Aladdin engine, a risk management platform that provides comprehensive risk estimation and reporting from a holistic view of your portfolio.
Learn More About Managing Your Risk
LifeView Intelligent Planning
LifeView is a suite of planning tools that include goal
specific analysis that we can use with our clients to
create a realistic, integrated strategy that incorporates
the various aspects of an individuals financial life,
including investments and cash management needs. Fill
out the questionnaire to get started on creating a
personalized strategy to achieve your long-term goals
specific analysis that we can use with our clients to
create a realistic, integrated strategy that incorporates
the various aspects of an individuals financial life,
including investments and cash management needs. Fill
out the questionnaire to get started on creating a
personalized strategy to achieve your long-term goals
Digital Vault
Keeping important documents and financial records organized and readily available is one of the best gifts you can give those you love. In the event of catastrophe or serious illness, disability or death, your Family Records Organizer can immediately provide vital, timely information to both your family and professional advisors. The Digital Vault on Morgan Stanley Online and the Mobile App allows you and your clients to build a central, shared document library where all documents are stored using encryption.
Learn More About Digital Vault
Forbes Best-In-State Wealth Management Teams (2024)
2024 Forbes Best-In-State Wealth Management Teams
Source: Forbes.com (Awarded Jan 2024) Data compiled by SHOOK Research LLC based for the period from 3/31/22–3/31/23
DisclosuresSource: Forbes.com (Awarded Jan 2024) Data compiled by SHOOK Research LLC based for the period from 3/31/22–3/31/23
Forbes Best-In-State Wealth Advisors - Brian Mavor
2023, 2024 Forbes Best-In- State Wealth Advisors
Source: Forbes.com (Awarded 2023, 2024). Data compiled by SHOOK Research LLC based 12-month time period concluding in June of year prior to the issuance of the award.
DisclosuresSource: Forbes.com (Awarded 2023, 2024). Data compiled by SHOOK Research LLC based 12-month time period concluding in June of year prior to the issuance of the award.
Location
100 Middle St
3rd Floor
Portland, ME 04101
US
Direct:
(207) 771-0800(207) 771-0800
Toll-Free:
(800) 442-6722(800) 442-6722
Fax:
(207) 771-0870(207) 771-0870
Meet The Blakeman/Mavor Group
Eric R Blakeman
Senior Vice President, Financial Advisor, Financial Planning Specialist
Phone:
(207) 771-0863(207) 771-0863
Lianie McGowan
Portfolio Associate
Phone:
(207) 871-7318(207) 871-7318
Tricia Maschke
Client Service Associate
Phone:
(207) 771-0815(207) 771-0815
About Brian P Mavor
Brian, Senior Vice President, has been in the securities industry since 1987, and has been with Morgan Stanley since 1989. His father, Preston, was also a Financial Advisor with Morgan Stanley for 35 years. He graduated from North Carolina State University with a degree in Economics and Business and played for the Division 1 tennis team battling for the Wolfpack in the ACC. Brian holds the Investment Management Consultant and Financial Planning Specialist designations and is Series 7, Series 63, and Series 65 certified. Brian enjoys working with clients to help them achieve their investment and estate management goals.
Brian currently serves as the President of the Maine Tennis Association and is on the Board of Directors for the United States Tennis Association/New England Division to promote tennis in Maine. Brian currently resides in Windham and has 3 daughters, Natalia, Lana, and Sofia who are pursuing their dreams and of course, playing lots of tennis. Outside of work, Brian likes to stay active with National Tennis events, mountain biking, and swimming.
The Blakeman/Mavor Group has been recognized by Forbes as a Best-In-State Wealth Management Team in Maine for 2025. Brian was also individually recognized by Forbes as a Best-In-State Wealth Advisor in Maine for 2023, 2024, and 2025.
Forbes Best-In-State Wealth Management Team: Maine - The Blakeman/Mavor Group
2025 Forbes Best-In-State Wealth Management Teams
Source: Forbes.com (Awarded 2025). Data compiled by SHOOK Research LLC based on 12-month time period concluding in March of year prior to the issuance of the award.
Forbes Best-In-State Wealth Advisors: Maine - Brian Mavor
2025, 2024, 2023 Forbes Best-In-State Wealth Advisors
Source: Forbes (Awarded 2023, 2024, 2025). Data compiled by SHOOK Research LLC based 12-month time period concluding in June of the year prior to the issuance of the award.
https://www.morganstanley.com/what-we-do/wealth-management/forbes-top-wealth-advisors-lists-2025
Brian currently serves as the President of the Maine Tennis Association and is on the Board of Directors for the United States Tennis Association/New England Division to promote tennis in Maine. Brian currently resides in Windham and has 3 daughters, Natalia, Lana, and Sofia who are pursuing their dreams and of course, playing lots of tennis. Outside of work, Brian likes to stay active with National Tennis events, mountain biking, and swimming.
The Blakeman/Mavor Group has been recognized by Forbes as a Best-In-State Wealth Management Team in Maine for 2025. Brian was also individually recognized by Forbes as a Best-In-State Wealth Advisor in Maine for 2023, 2024, and 2025.
Forbes Best-In-State Wealth Management Team: Maine - The Blakeman/Mavor Group
2025 Forbes Best-In-State Wealth Management Teams
Source: Forbes.com (Awarded 2025). Data compiled by SHOOK Research LLC based on 12-month time period concluding in March of year prior to the issuance of the award.
Forbes Best-In-State Wealth Advisors: Maine - Brian Mavor
2025, 2024, 2023 Forbes Best-In-State Wealth Advisors
Source: Forbes (Awarded 2023, 2024, 2025). Data compiled by SHOOK Research LLC based 12-month time period concluding in June of the year prior to the issuance of the award.
https://www.morganstanley.com/what-we-do/wealth-management/forbes-top-wealth-advisors-lists-2025
Securities Agent: MD, ID, GA, VT, IL, CO, VA, MT, AZ, WA, PA, OH, NJ, MN, FL, MI, TN, DC, CA, RI, NY, CT, MA, NH, NC, ME, AL, TX, SC, DE, UT; General Securities Representative; Investment Advisor Representative; Transactional Futures/Commodities; Managed Futures
NMLS#: 1290688
NMLS#: 1290688
About Eric R Blakeman
Eric is a Senior Vice President and a Financial Planning Specialist who has been providing wealth advisory consulting services to clients at Morgan Stanley since 1999. Eric prioritizes the client-advisor relationship in order to effectively customize strategies to meet their financial goals. He graduated from Northwestern University with a degree in Political Science and Economics.
Eric was a Four-Year High School Tennis All American, going undefeated all four years. At the same time, he also played soccer at North Yarmouth Academy winning the Maine State Soccer Championship his senior year. Eric then went on to compete for the 1990 Big Ten Championship Tennis team at Northwestern for four years, being named Captain his senior year. He played his first professional tennis tournament at the age of 16.
Eric serves on the Board of Directors for the Vincent and Barbara Welch Foundation and was formerly on the Board of Directors of the Cancer Community Center (now the Dempsey Center). Eric also ran the largest New England tennis cancer fundraiser for Maine's Cancer Community Center in honor of his mother, Betty Blakeman, for thirty years. Eric now volunteers as the Chief of Competition for the Rosemary Bowl, the longest running Freestyle event in the USA.
Eric resides in Falmouth with his wife, Jodi, and their four children.
The Blakeman/Mavor Group has been recognized by Forbes as a Best-In-State Wealth Management Team in Maine for 2025. Eric was also individually recognized by Forbes as a Best-In-State Wealth Advisor in Maine for 2025.
Forbes Best-In-State Wealth Management Team: Maine - The Blakeman/Mavor Group
2025 Forbes Best-In-State Wealth Management Teams
Source: Forbes.com (Awarded 2025). Data compiled by SHOOK Research LLC based on 12-month time period concluding in March of year prior to the issuance of the award.
Forbes Best-In-State Wealth Advisors: Maine - Eric Blakeman
2025 Forbes Best-In-State Wealth Advisors
Source: Forbes (Awarded April 2025). Data compiled by SHOOK Research LLC based for the period 6/30/23–6/30/24. https://www.morganstanley.com/what-we-do/wealth-management/forbes-top-wealth-advisors-lists-2025
Eric was a Four-Year High School Tennis All American, going undefeated all four years. At the same time, he also played soccer at North Yarmouth Academy winning the Maine State Soccer Championship his senior year. Eric then went on to compete for the 1990 Big Ten Championship Tennis team at Northwestern for four years, being named Captain his senior year. He played his first professional tennis tournament at the age of 16.
Eric serves on the Board of Directors for the Vincent and Barbara Welch Foundation and was formerly on the Board of Directors of the Cancer Community Center (now the Dempsey Center). Eric also ran the largest New England tennis cancer fundraiser for Maine's Cancer Community Center in honor of his mother, Betty Blakeman, for thirty years. Eric now volunteers as the Chief of Competition for the Rosemary Bowl, the longest running Freestyle event in the USA.
Eric resides in Falmouth with his wife, Jodi, and their four children.
The Blakeman/Mavor Group has been recognized by Forbes as a Best-In-State Wealth Management Team in Maine for 2025. Eric was also individually recognized by Forbes as a Best-In-State Wealth Advisor in Maine for 2025.
Forbes Best-In-State Wealth Management Team: Maine - The Blakeman/Mavor Group
2025 Forbes Best-In-State Wealth Management Teams
Source: Forbes.com (Awarded 2025). Data compiled by SHOOK Research LLC based on 12-month time period concluding in March of year prior to the issuance of the award.
Forbes Best-In-State Wealth Advisors: Maine - Eric Blakeman
2025 Forbes Best-In-State Wealth Advisors
Source: Forbes (Awarded April 2025). Data compiled by SHOOK Research LLC based for the period 6/30/23–6/30/24. https://www.morganstanley.com/what-we-do/wealth-management/forbes-top-wealth-advisors-lists-2025
Securities Agent: UT, NY, NJ, MI, CO, WA, PA, AL, VA, SC, MT, VT, TX, MD, NH, ME, MA, ID, CA, AZ, IL, TN, RI, OH, NC, GA, DE, FL, DC, CT; General Securities Representative; Investment Advisor Representative
NMLS#: 1542780
NMLS#: 1542780
About Lianie McGowan
Lianie is a Portfolio Associate and she began her career in the securities industry in 1990. Lianie is responsible for the day-to-day operations of the Blakeman/Mavor Group. Lianie manages client account maintenance as well as new client relationships and operational procedures. Lianie and her family reside in Raymond.
About Tricia Maschke
Tricia is a Client Service Associate and has been with Morgan Stanley for 10 years. She is responsible for the day-to-day operations of the Blakeman/Mavor Group. Tricia manages client account maintenance as well as new client relationships and operational procedures.
Contact Brian P Mavor
Contact Eric R Blakeman
The Power of Partnerships
By partnering with experienced individuals across wealth disciplines, Morgan Stanley Financial Advisors can align specialized resources with your custom needs and deliver strategic guidance through the familiarity and trust of existing relationships
Christian Catricala
Private Banker
Zach Dimonekas
Planning Associate
About Christian Catricala
Christian Catricala is a Private Banker serving Morgan Stanley Wealth Management offices in Massachusetts and Rhode Island.
Private Bankers partner with Financial Advisors to develop a specialized approach for managing clients’ cash flow, liquidity and financing needs, leveraging our comprehensive suite of cash management and lending solutions.
Christian began his career in financial services in 2015, and joined Morgan Stanley in 2016 as a Rotational Analyst supporting a variety of divisions in Wealth Management. Prior to being promoted to his current role, he was an Associate Private Banker supporting Wealth Management offices in Boston, Massachusetts.
Christian is a graduate of the Merrimack College, where he received a Bachelor of Science in Accounting and Marketing. He lives in Melrose, Massachusetts with his wife. Outside of the office, Christian enjoys cooking, biking, and traveling.
Private Bankers partner with Financial Advisors to develop a specialized approach for managing clients’ cash flow, liquidity and financing needs, leveraging our comprehensive suite of cash management and lending solutions.
Christian began his career in financial services in 2015, and joined Morgan Stanley in 2016 as a Rotational Analyst supporting a variety of divisions in Wealth Management. Prior to being promoted to his current role, he was an Associate Private Banker supporting Wealth Management offices in Boston, Massachusetts.
Christian is a graduate of the Merrimack College, where he received a Bachelor of Science in Accounting and Marketing. He lives in Melrose, Massachusetts with his wife. Outside of the office, Christian enjoys cooking, biking, and traveling.
NMLS#: 1773684
About Zach Dimonekas
Zach Dimonekas is a Planning Associate at Morgan Stanley providing dedicated financial planning support to Financial Advisors and their teams. Operating as an extension of the FA/Team, he collaborates with clients to discover and define goals that matter most to them. Leveraging state of the art technology, he will evaluate various options and their potential outcomes to help clients confidently choose the appropriate course of action. Zach provides expertise across a wide suite of Morgan Stanley planning tools designed to assist in the areas of investment accumulation, retirement, education, major purchase, cash flow, risk management, tax efficiency, and wealth transfer planning.
He earned his undergraduate degree from Auburn University and received the Financial Planning Specialist® designation from the College for Financial Planning. Zach is originally from Darien, CT and currently resides in New York City.
He earned his undergraduate degree from Auburn University and received the Financial Planning Specialist® designation from the College for Financial Planning. Zach is originally from Darien, CT and currently resides in New York City.
Wealth Management
From Our Team
Financial Planning Brochure
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Retirement
Working with you to understand your life goals and develop a personalized wealth strategy. Today and for the years to come.
- 401(k) Rollovers
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Investing
Working closely with you to guide your wealth and investments through the most challenging market cycles.
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Creating customized financial strategies for the challenges that today’s families face.
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Helping you on key aspects of your business such as ownership, liquidity and developing opportunities.
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Financial Planning for Life After Selling a Business
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1Morgan Stanley Wealth Management is the trade name of Morgan Stanley Smith Barney LLC, a registered broker-dealer in the United States.
For more information, please see the Morgan Stanley Smith Barney LLC Client Relationship Summary.
2Morgan 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
3Morgan 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.
4An investment in an exchange-traded fund (ETF) involves risks similar to those of investing in a broadly based portfolio of equity securities traded on exchange in the relevant securities market, such as market fluctuations caused by such factors as economic and political developments, changes in interest rates and perceived trends in stock prices. The investment return and principal value of ETF investments will fluctuate, so that an investor’s ETF shares, if or when sold, may be worth more or less than the original cost.
Investors should carefully consider the investment objectives, risks, charges and expenses of an exchange-traded fund (ETF) before investing. The prospectus contains this and other information about the ETF. To obtain a prospectus, contact your Financial Advisor or visit the ETF company’s website. Please read the prospectus carefully before investing.
5Morgan 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.
6Insurance products are offered in conjunction with Morgan Stanley Smith Barney LLC’s licensed insurance agency affiliates.
7When 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.
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
For more information, please see the Morgan Stanley Smith Barney LLC Client Relationship Summary.
2Morgan 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
3Morgan 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.
4An investment in an exchange-traded fund (ETF) involves risks similar to those of investing in a broadly based portfolio of equity securities traded on exchange in the relevant securities market, such as market fluctuations caused by such factors as economic and political developments, changes in interest rates and perceived trends in stock prices. The investment return and principal value of ETF investments will fluctuate, so that an investor’s ETF shares, if or when sold, may be worth more or less than the original cost.
Investors should carefully consider the investment objectives, risks, charges and expenses of an exchange-traded fund (ETF) before investing. The prospectus contains this and other information about the ETF. To obtain a prospectus, contact your Financial Advisor or visit the ETF company’s website. Please read the prospectus carefully before investing.
5Morgan 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.
6Insurance products are offered in conjunction with Morgan Stanley Smith Barney LLC’s licensed insurance agency affiliates.
7When 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.
Check the background of our Firm and Investment Professionals on FINRA's BrokerCheck*.
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Awards Disclosures
CRC 6491812 (04/2024)
