Phone:
(206) 628-4403(206) 628-4403
The Broad Park Group at Morgan Stanley
Our Mission Statement
An experienced wealth management practice in the Pacific Northwest managing the finances of a select group of exceptionally accomplished entrepreneurs, executives and families.
THE BEST OF BOTH WORLDS
The Broad Park Group at Morgan Stanley provides its high net worth and ultra-high net worth clients with the best of both worlds — the bespoke, white glove service of a boutique practice coupled with the vast resources and capabilities of a trusted, global financial services firm.
Our team strives to do first class business in a first class way. We intentionally limit the number of clients in our practice to ensure we have the bandwidth to provide exceptional service and intimate attention. As well, we've thoughtfully woven our practice into Morgan Stanley's award winning platform ensuring our clients receive world class advice, resources, expertise and capabilities.
Our mission is to provide our clients with the absolute best thinking of the firm positioning them to make the best decisions possible for themselves, their families and their constituency.
Services Include
- Business Succession PlanningFootnote1
- Executive Financial ServicesFootnote2
- Wealth PlanningFootnote3
- Cash Management and Lending ProductsFootnote4
- Professional Portfolio ManagementFootnote5
- Alternative InvestmentsFootnote6
- Sustainable InvestingFootnote7
- Estate Planning StrategiesFootnote8
- Trust ServicesFootnote9
- Philanthropic ManagementFootnote10
- Donor Advised Funds
- Life InsuranceFootnote11
Check the background of Our Firm and Investment Professionals on FINRA's BrokerCheck.*
PREPARING FOR THE TRANSACTION OF A LIFETIME
Selling a business should be the reward for years of entrepreneurial savvy and hard work. However, the monetization of a privately held business is complex and requires seamless coordination of both personal wealth management and business monetization strategies. The Broad Park Group has extensive experience and a disciplined process for guiding business owners through transactions, advising and assisting them at each stage of the process highlighting key decisions, deadlines and milestones. We lever Morgan Stanley's resources, capabilities and platform to help ensure that you are properly prepared for the transaction of a lifetime.
Our process includes:
Assembling an Advisory Team
We help identify and retain a highly qualified, multidisciplinary team of professionals to help guide you through the monetization process and beyond.
Evaluating Readiness
By creating a goals-based financial plan, we help you determine the income you will need to support your lifestyle.
Pre-Monetization Preparation
Examine different monetization paths and develop a plan for managing post-transaction liquidity.
Transaction Execution
Our Strategic Client Management team helps you identify and retain an investment banker who specializes in the monetization strategy you have chosen and help strategically solicit and evaluate offers.
Post-Liquidity Planning
We implement a customized wealth management plan that encompasses investment strategy, liability management and multi-generational legacy considerations.
ACCESS TO THE FIRM'S BEST THINKING
The Broad Park Group seeks to build your investment plan around you: your goals, your risk tolerance, your liquidity needs and your investing style. We then marshall the resources and expertise of the firm to build a bespoke investment strategy based upon what you've expressed are the things most important to you and your family.
For investment managment, we utilize Morgan Stanley's most seasoned investment professionals to provide the firm's investment outlook, strategy and advice which we share with clients. They monitor developing economic and market conditions, review tactical outlooks, recommend asset allocation weightings, and produce a suite of analysis and commentary reports and broadcasts for clients.
For product selection, we employ Morgan Stanley's dedicated team of more than 70 investment analysts to evaluate investment managers, products and opportunities across a spectrum of asset classes and investment styles.
We recognize that taxes can meaningfully impact wealth and returns. We enlist Morgan Stanley's Tax Management Services which seek to ensure that apporpriate measures are taken (tax efficient trading, wash sale adherence, tax loss harvesting) so as to reduce tax liability and attempt to enhance after-tax return.
By levering the firm's resources and expertise, we are positioned to provide every client with the absolute best thinking of the entire firm.
Our Strategies Include
- Strategic Asset Allocation
- Tactical Asset Allocation
- Direct Indexing
- Tax Free Bonds
- Private Equity
- Private Credit
- Private Real Estate
- Non Traded REITs
- Venture Capital
- Digital Assets
- 1031 Exchange Funds
- Equity Exchange Funds
- Qualified Opportunity Zone Funds
- Tax Management Services
SOLUTIONS THAT CAN IMPACT MULTIPLE GENERATIONS
The Broad Park Group provides world class services and resources for ultra-high net worth clients that go well beyond investment management and financial planning.
Morgan Stanley's Family Office Resources (FOR) delivers comprehensive solutions across a broad range of complex, multigenerational wealth management issues by providing ultra-high net worth clients with specialized knowledge, experience, tools and comprehensive, vetted networks. The team is comprised of 60+ experienced professionals who work side by side with The Broad Park Group to best serve you and your family.
Family Office Resources Generalists help curate and navigate FORs expansive suite of specialized resources so as to positon clients to be able to make complicated decisions confidently.
The term "Family Office Resources" is being used as a term of art and not to imply that Morgan Stanley and/or its employees are acting as a family office pursuant to Investment Advisers Act of 1940.
Overview of Capabilities
- Wealth & Estate Planning Strategies
- Family Governance
- Wealth Education
- Philanthropy Management
- Lifestyle Advisory
- Trust Services
- Health and Wellness Education
- Single Family Office Advisory
- Investments
- Insurance
- Cash Management
- Lending
- Mortgages
- Liquidity Events
- Corporate Equity Solutions
- Endowments and Foundations
Awards, Designations and Philanthropy
Forbes Best-In-State Wealth Management Teams
2023
Source: Forbes (Awarded Jan 2023). Data compiled by SHOOK Research LLC based on time period from 3/31/21 – 3/31/22. https://mgstn.ly/3wb7pSG
Forbes Best-In-State Wealth Management Teams
2024
Forbes Best-In-State Wealth Management Teams
Source: Forbes.com (Awarded Jan 2024) Data compiled by SHOOK Research LLC for the period
3/31/22-3/31/23
Certified Financial Planner
Antoine Toussaint
Joleen Powell
Chartered Life Underwriter
Antoine Toussaint
Joleen Powell
Rainier Scholars
Kevin L. Baker
Board Trustee & Endowment Chair
First Tee of Greater Seattle
Antoine Toussaint
Board Trustee
Bellwether Housing
Antoine Toussaint
Board Trustee & Finance Committee Member
The Bush School
Kevin L. Baker
Former Board Trustee & Endowment Chair
Location
601 Union Street
Suite 5200
Seattle, WA 98101
US
Direct:
(206) 628-4400(206) 628-4400
Meet The Broad Park Group
Senior Vice President, Financial Advisor, Workplace Advisor - Equity Compensation
Phone:
(206) 628-4680(206) 628-4680
Joleen Rose, CFP®, CLU®
Wealth Management Associate
Phone:
(206) 628-4434(206) 628-4434
Jailyn Fonseca
Client Service Associate
Phone:
(206) 344-3598(206) 344-3598
About Kevin L. Baker, MBA
Kevin Baker is an Executive Director and Financial Advisor with Morgan Stanley Wealth Management. Kevin works closely with successful individuals, families and institutions to deliver customized investment advisory guidance in a holistic manner. He couples sophisticated planning with an empathetic approach to address the multitude of complexities that often accompany wealth.
In his practice, Kevin draws upon the full array of Morgan Stanley’s award-winning research, professional resources and experienced teams to ensure that every client receives the thought leadership of the firm. He serves as a single point of access to advise clients across both sides of the balance sheet and to care for a wide range of financial needs — investment management, cash management and lending services. Kevin works closely with each client’s professional advisors, incorporating tax, estate and trust planning into his tailored strategies.
Before joining Morgan Stanley, Kevin was an Executive Director at J.P. Morgan. Before J.P. Morgan, he was Vice President and Senior Investment Advisor at Bernstein Global Wealth Management, a division of Alliance Bernstein.
Kevin attended the University of Toledo as an Academic All-American student athlete and received his B.A. in Business Communications. He also earned an M.B.A. from the University of Notre Dame.
Active in his local community, Kevin serves as a Board Trustee and Endowment Chair at Rainier Scholars, a non-profit organization that "cultivates the academic and leadership potential of underrepresented students of color through rigorous, transformative opportunities that increase college graduation rates and empower new generations of leaders." Kevin also served as a Board Trustee and Endowment Chair at The Bush School, a progressive day school whose mission is to “spark in students of diverse backgrounds and talents a passion for learning, accomplishment and contribution to their communities.” Kevin also is an emeritus board member of the Rotary Boys & Girls Club in the Central District of Seattle.
Kevin lives in Seattle with his wife, Julia, and sons, Benjamin and William. He is an avid sports fan who enjoys spending time with his family, traveling, reading, exercising and playing golf.
In his practice, Kevin draws upon the full array of Morgan Stanley’s award-winning research, professional resources and experienced teams to ensure that every client receives the thought leadership of the firm. He serves as a single point of access to advise clients across both sides of the balance sheet and to care for a wide range of financial needs — investment management, cash management and lending services. Kevin works closely with each client’s professional advisors, incorporating tax, estate and trust planning into his tailored strategies.
Before joining Morgan Stanley, Kevin was an Executive Director at J.P. Morgan. Before J.P. Morgan, he was Vice President and Senior Investment Advisor at Bernstein Global Wealth Management, a division of Alliance Bernstein.
Kevin attended the University of Toledo as an Academic All-American student athlete and received his B.A. in Business Communications. He also earned an M.B.A. from the University of Notre Dame.
Active in his local community, Kevin serves as a Board Trustee and Endowment Chair at Rainier Scholars, a non-profit organization that "cultivates the academic and leadership potential of underrepresented students of color through rigorous, transformative opportunities that increase college graduation rates and empower new generations of leaders." Kevin also served as a Board Trustee and Endowment Chair at The Bush School, a progressive day school whose mission is to “spark in students of diverse backgrounds and talents a passion for learning, accomplishment and contribution to their communities.” Kevin also is an emeritus board member of the Rotary Boys & Girls Club in the Central District of Seattle.
Kevin lives in Seattle with his wife, Julia, and sons, Benjamin and William. He is an avid sports fan who enjoys spending time with his family, traveling, reading, exercising and playing golf.
Securities Agent: CT, MD, WA, OR, KY, FL, SC, NM, MI, MA, LA, DC, CA, TX, NJ, ID, WI, HI, GA, CO, AZ, TN, AK, MN, AR, OH, VA, UT, NY, NV, NC, IL, DE, PA, MT; General Securities Representative; Investment Advisor Representative
NMLS#: 2249030
NMLS#: 2249030
About Antoine Toussaint
From a young age, Antoine had a passion for connecting with people and striving to make an impact on their lives. He turned that into a career of helping educate families about their money, and has been doing that since 2007.
As a Vice President and Financial Advisor for Morgan Stanley, he focuses on helping tech executives, and entrepreneurs.
As a CFP® his focus is on comprehensive planning, which includes investment management, asset protection strategies/insurance planning, restricted stock analysis, and lending services. He works alongside clients' Estate Planning Attorneys, Tax and Business Advisors, and other professionals to provide holistic wealth management solutions.
He lives in Seattle, and his greatest joys are spending time with his wife, Heidi, and children, Amara and Emmette. In his free time, he can be found golfing (with an extra sleeve of balls), reading (1-2 books a month), or traveling.
He serves as a Board Member for Bellwether Housing and The First Tee of Greater Seattle, and is an active Big Brother.
Disclaimer:
Morgan Stanley Smith Barney LLC offers insurance products in conjunction with its licensed insurance agency affiliates.
As a Vice President and Financial Advisor for Morgan Stanley, he focuses on helping tech executives, and entrepreneurs.
As a CFP® his focus is on comprehensive planning, which includes investment management, asset protection strategies/insurance planning, restricted stock analysis, and lending services. He works alongside clients' Estate Planning Attorneys, Tax and Business Advisors, and other professionals to provide holistic wealth management solutions.
He lives in Seattle, and his greatest joys are spending time with his wife, Heidi, and children, Amara and Emmette. In his free time, he can be found golfing (with an extra sleeve of balls), reading (1-2 books a month), or traveling.
He serves as a Board Member for Bellwether Housing and The First Tee of Greater Seattle, and is an active Big Brother.
Disclaimer:
Morgan Stanley Smith Barney LLC offers insurance products in conjunction with its licensed insurance agency affiliates.
Securities Agent: MA, FL, TX, SC, NV, CT, LA, IN, DE, AK, VA, NY, NJ, MT, DC, ID, HI, CO, NM, UT, NC, IL, GA, CA, WA, MN, MD, OR, OH, MI, AZ, WI, PA; General Securities Representative; Investment Advisor Representative
NMLS#: 2177899
NMLS#: 2177899
About Joleen Rose
After graduating from the University of Washington, Joleen began her career at Northwestern Mutual in 2012. During her time there, she gained valuable insights to the industry and spent her time focused on comprehensive financial planning. This led her to obtain her Certified Financial Planner and Chartered Life Underwriter designations in 2018. In 2022, Joleen transitioned to Morgan Stanley, where she became a valuable member of the team contributing her expertise to ultra-high net worth clients providing them with tailored financial solutions and building lasting relationships. Joleen and her husband, Preston, currently live in San Diego after a two-year stint in North Carolina for Preston to obtain his MBA from Duke University. In her spare time, she enjoys exercising, hiking, wine tasting, and exploring new cities as often as possible.
About Jailyn Fonseca
Jailyn joined The Broad Park Group in 2023 as a Client Service Associate. She attended the University of Washington where she obtained a BA in Business Administration, with concentrations in Finance and Marketing. Prior to joining Morgan Stanley, Jailyn worked as an investment analyst with the University of Washington. She was born and raised in Seattle, and in her free time she enjoys cooking, painting, and exploring the PNW.
Contact Kevin L. Baker, MBA
Contact Antoine Toussaint
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
Katie Reed
Senior Private Banker
Aashna Shahdadpuri
Planning Associate
Elizabeth Chand
Family Office Resources Generalist
About Katie Reed
Katie Reed is a Senior Private Banker serving Morgan Stanley Wealth Management offices in Washington.
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.
Katie began her career in financial services in 2002, and joined Morgan Stanley in 2017 as a Private Banker. Prior to joining the firm, she was a Wealth Management Banker at Merrill Lynch.
Katie is a graduate of the University of Washington, where she received a Bachelor of Arts in Economics. She lives in Seattle, Washington with her spouse. Outside of the office, Katie enjoys volunteering her time with various organizations which support women, food accessibility, and animals. She also enjoys traveling, Washington Husky football, and spending time with family and friends.
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.
Katie began her career in financial services in 2002, and joined Morgan Stanley in 2017 as a Private Banker. Prior to joining the firm, she was a Wealth Management Banker at Merrill Lynch.
Katie is a graduate of the University of Washington, where she received a Bachelor of Arts in Economics. She lives in Seattle, Washington with her spouse. Outside of the office, Katie enjoys volunteering her time with various organizations which support women, food accessibility, and animals. She also enjoys traveling, Washington Husky football, and spending time with family and friends.
NMLS#: 652641
About Aashna Shahdadpuri
Aashna Shahdadpuri 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, she collaborates with clients to discover and define goals that matter most to them. Leveraging state of the art technology, she will evaluate various options and their potential outcomes to help clients confidently choose the appropriate course of action. Aashna 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.
She earned her undergraduate degree from Boston University and received the Financial Planning Specialist designation® from the College for Financial Planning. Aashna is originally from Dubai, U.A.E and currently resides in New York City.
She earned her undergraduate degree from Boston University and received the Financial Planning Specialist designation® from the College for Financial Planning. Aashna is originally from Dubai, U.A.E and currently resides in New York City.
About Elizabeth Chand
Elizabeth Chand leads the Family Office Resource Generalist team and also covers the Central Region. As a FOR Generalist Elizabeth provides specialized expertise to Financial Advisors and their UHNW clients, educating and advising across a broad spectrum of family wealth management concerns, including family legacy and governance, customized wealth education for the next generation, lifestyle advisory and concierge services, strategic estate and financial planning, and philanthropy management.
Most recently, Elizabeth worked with New York Life in their Advanced Planning Group. She worked with agents and their UHNW clients to advise them on issues of estate and legacy planning as well as business succession planning. Prior to New York Life she ran a boutique estate planning law firm in Southern California working with high net worth families and businesses. Her practice focused exclusively on trusts and estates, probate, trust administration and tax. She has over 15 years of experience as an attorney representing individuals and business clients in connection with the development and implementation of sophisticated estate planning strategies and techniques.
Elizabeth holds a Bachelor of Arts and Master of Science degrees from the University of Pennsylvania and her J.D. degree from Chapman University School of Law where she graduated Cum Laude. Elizabeth also holds her Series 7, 66 and 24 securities licenses. Elizabeth lives in the Dallas, TX area with her husband, four daughters and dog Zoe.
Most recently, Elizabeth worked with New York Life in their Advanced Planning Group. She worked with agents and their UHNW clients to advise them on issues of estate and legacy planning as well as business succession planning. Prior to New York Life she ran a boutique estate planning law firm in Southern California working with high net worth families and businesses. Her practice focused exclusively on trusts and estates, probate, trust administration and tax. She has over 15 years of experience as an attorney representing individuals and business clients in connection with the development and implementation of sophisticated estate planning strategies and techniques.
Elizabeth holds a Bachelor of Arts and Master of Science degrees from the University of Pennsylvania and her J.D. degree from Chapman University School of Law where she graduated Cum Laude. Elizabeth also holds her Series 7, 66 and 24 securities licenses. Elizabeth lives in the Dallas, TX area with her husband, four daughters and dog Zoe.
Wealth Management
Global Investment Office
Portfolio Insights
Retirement
Working with you to understand your life goals and develop a personalized wealth strategy. Today and for the years to come.
- 401(k) Rollovers
- IRA Plans
- Retirement income strategies
- Retirement plan participants
- Annuities
Investing
Working closely with you to guide your wealth and investments through the most challenging market cycles.
- Asset Management
- Wealth Planning
- Traditional Investments
- Alternative Investments
- Impact Investing
Family
Creating customized financial strategies for the challenges that today’s families face.
- Estate Planning Strategies
- 529 Plans / Education Savings Planning
- Long Term Care Insurance
- Special Needs Planning
- Trust Services
Are You Prepared for Tax Day?
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Business Planning
Helping you on key aspects of your business such as ownership, liquidity and developing opportunities.
- Succession Planning
- Business Planning
- Qualified Retirement Plans
Financial Planning for Life After Selling a Business
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Philanthropy
Making sure your philanthropic dollars are managed with the same high quality service as the rest of your wealth.
- Endowments
- Foundations
- Donor Advised Funds
- Impact Investing
Donor Advised Funds: A Smart Way to Manage Your Giving
Article Image
Financial Wellness
Enhancing Financial Wellness enables your workforce to do their best work. Companies that invest in financial wellness have an opportunity to:
- Reduce employee stress,
- Improve retention and engagement, and
- Set themselves apart by offering comprehensive financial wellness benefits.
Ready to start a conversation? Contact The Broad Park Group today.
Certified Financial Planner Board of Standards, Inc. (CFP Board) owns the certification marks CFP®, CERTIFIED FINANCIAL PLANNER™, and CFP® (with plaque design) in the United States, which it authorizes use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements.
1Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors or Private Wealth Advisors do not provide tax or legal advice. Clients should consult their tax advisor for matters involving taxation and tax planning and their attorney for legal matters.
2Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors or Private Wealth Advisors do not provide tax or legal advice. Clients should consult their tax advisor for matters involving taxation and tax planning and their attorney for legal matters.
3Morgan Stanley 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.
Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors and Private Wealth Advisors do not provide tax or legal advice. Clients should consult their tax advisor for matters involving taxation and tax planning and their attorney for matters involving trust and estate planning, charitable giving, philanthropic planning and other legal matters.
4Morgan 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
5Morgan Stanley’s investment advisory programs may require a minimum asset level and, depending on your specific investment objectives and financial position, may not be appropriate for you. Please see the Morgan Stanley Smith Barney LLC program disclosure brochure (the “Morgan Stanley ADV”) for more information in the investment advisory programs available. The Morgan Stanley ADV is available at www.morganstanley.com/ADV.
6Alternative Investments are speculative and include a high degree of risk. An investor could lose all or a substantial amount of his/her investment. Alternative investments are appropriate only for qualified, long-term investors who are willing to forgo liquidity and put capital at risk for an indefinite period of time.
7The returns on a portfolio consisting primarily of Environmental, Social and Governance (“ESG”) aware investments may be lower or higher than a portfolio that is more diversified or where decisions are based solely on investment considerations. Because ESG 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. Diversification does not guarantee a profit or protect against loss in a declining financial market.
8Morgan 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.
9Morgan Stanley Smith Barney LLC does not accept appointments nor will it act as a trustee but it will provide access to trust services through an appropriate third-party corporate trustee.
Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors and Private Wealth Advisors do not provide tax or legal advice. Clients should consult their tax advisor for matters involving taxation and tax planning and their attorney for matters involving trust and estate planning and other legal matters.
10Products and services are provided by third party service providers, not Morgan Stanley Smith Barney LLC (“Morgan Stanley”). Morgan Stanley may not receive a referral fee or have any input concerning such products or services. There may be additional service providers for comparative purposes. Please perform a thorough due diligence and make your own independent decision.
Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors and Private Wealth Advisors do not provide tax or legal advice. Clients should consult their tax advisor for matters involving taxation and tax planning and their attorney for matters involving trust and estate planning, charitable giving, philanthropic planning and other legal matters.
11Insurance products are offered in conjunction with Morgan Stanley Smith Barney LLC’s licensed insurance agency affiliates.
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
1Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors or Private Wealth Advisors do not provide tax or legal advice. Clients should consult their tax advisor for matters involving taxation and tax planning and their attorney for legal matters.
2Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors or Private Wealth Advisors do not provide tax or legal advice. Clients should consult their tax advisor for matters involving taxation and tax planning and their attorney for legal matters.
3Morgan Stanley 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.
Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors and Private Wealth Advisors do not provide tax or legal advice. Clients should consult their tax advisor for matters involving taxation and tax planning and their attorney for matters involving trust and estate planning, charitable giving, philanthropic planning and other legal matters.
4Morgan 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
5Morgan Stanley’s investment advisory programs may require a minimum asset level and, depending on your specific investment objectives and financial position, may not be appropriate for you. Please see the Morgan Stanley Smith Barney LLC program disclosure brochure (the “Morgan Stanley ADV”) for more information in the investment advisory programs available. The Morgan Stanley ADV is available at www.morganstanley.com/ADV.
6Alternative Investments are speculative and include a high degree of risk. An investor could lose all or a substantial amount of his/her investment. Alternative investments are appropriate only for qualified, long-term investors who are willing to forgo liquidity and put capital at risk for an indefinite period of time.
7The returns on a portfolio consisting primarily of Environmental, Social and Governance (“ESG”) aware investments may be lower or higher than a portfolio that is more diversified or where decisions are based solely on investment considerations. Because ESG 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. Diversification does not guarantee a profit or protect against loss in a declining financial market.
8Morgan 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.
9Morgan Stanley Smith Barney LLC does not accept appointments nor will it act as a trustee but it will provide access to trust services through an appropriate third-party corporate trustee.
Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors and Private Wealth Advisors do not provide tax or legal advice. Clients should consult their tax advisor for matters involving taxation and tax planning and their attorney for matters involving trust and estate planning and other legal matters.
10Products and services are provided by third party service providers, not Morgan Stanley Smith Barney LLC (“Morgan Stanley”). Morgan Stanley may not receive a referral fee or have any input concerning such products or services. There may be additional service providers for comparative purposes. Please perform a thorough due diligence and make your own independent decision.
Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors and Private Wealth Advisors do not provide tax or legal advice. Clients should consult their tax advisor for matters involving taxation and tax planning and their attorney for matters involving trust and estate planning, charitable giving, philanthropic planning and other legal matters.
11Insurance products are offered in conjunction with Morgan Stanley Smith Barney LLC’s licensed insurance agency affiliates.
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.
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Awards Disclosures
CRC 6491812 (04/2024)
