Managing Director, Wealth Management, Wealth Advisor, Executive Financial Services Director, Senior Portfolio Management Director, Alternative Investments Director
Phone:
(415) 693-6876(415) 693-6876
The Bromberg Group at Morgan Stanley
Direct:
(415) 693-6876(415) 693-6876
Toll-Free:
(800) 248-3565(800) 248-3565
Our Mission Statement
To provide a high level of service while helping develop investment strategies through a holistic investment process.
Welcome
Taking the lead from Jesse Bromberg, the founding member of The Bromberg Group at Morgan Stanley*, our practice works to help our clients live the one life they have in the best way possible. Specifically, taking charge of life's inevitable transitions and critical opportunities in order to positively and materially impact their futures.
When your portfolio grows, so too does its complexity and the resources needed to help manage it. As Wealth Advisors, we have the knowledge, experience and commitment necessary to develop a strategy for your investments on an ongoing basis, providing you with objective advice on critical financial matters.
Working closely with you, we will develop an investment strategy focused clearly on your objectives—one that reflects your lifestyle expectations, cash flow needs, risk tolerance and aspirations for your family. From there, we will help you build a portfolio informed by the resources and insight available from Morgan Stanley*, one of the world's largest financial firms.
When you look at wealth management from a long-term perspective, one thing becomes clear: It's your future, not just your money. Over time, we can help you navigate the noise and distractions of challenging markets, providing a disciplined sense of focus on what's most important—your progress toward your goals.
When your portfolio grows, so too does its complexity and the resources needed to help manage it. As Wealth Advisors, we have the knowledge, experience and commitment necessary to develop a strategy for your investments on an ongoing basis, providing you with objective advice on critical financial matters.
Working closely with you, we will develop an investment strategy focused clearly on your objectives—one that reflects your lifestyle expectations, cash flow needs, risk tolerance and aspirations for your family. From there, we will help you build a portfolio informed by the resources and insight available from Morgan Stanley*, one of the world's largest financial firms.
When you look at wealth management from a long-term perspective, one thing becomes clear: It's your future, not just your money. Over time, we can help you navigate the noise and distractions of challenging markets, providing a disciplined sense of focus on what's most important—your progress toward your goals.
Services Include
- Wealth ManagementFootnote1
- Estate Planning StrategiesFootnote2
- Financial PlanningFootnote3
- Professional Portfolio ManagementFootnote4
- Business Succession PlanningFootnote5
- Philanthropic ManagementFootnote6
- Sustainable InvestingFootnote7
- Cash Management and Lending ProductsFootnote8
- Endowments and FoundationsFootnote9
- Executive Financial ServicesFootnote10
- Corporate Investment SolutionsFootnote11
- Corporate Cash Management
- Institutional ServicesFootnote12
- Alternative InvestmentsFootnote13
- Art AdvisoryFootnote14
- SyndicateFootnote15
Check the background of Our Firm and Investment Professionals on FINRA's BrokerCheck.*
Approach
Discovery Process
Investing the time to learn about you and your family; your assets and liabilities and the risk exposures, enables us to formulate strategies and customize the relationship to your needs.
Formulation of Tax, Trust and Estate Strategy
Working with your tax and legal advisors, we help analyze your income and estate tax circumstances to identify and tailor planning techniques that may be used to address your objectives.
Creation of Customized Strategic Asset Allocation
Your customized asset allocation reflects risk, opportunities and taxation across multiple entities, while integrating your investing and estate plans.
Integration of Tactical Asset Allocation
Short-term adjustments seek to capitalize on temporary market distortions. Before making adjustments, we analyze the impact of taxes and trading costs on potential returns.
Implementation of a Customized Wealth Strategy
After comprehensive due diligence and analysis of expected results across multiple market scenarios, strategies are chosen from our expansive investment platform.
Ongoing Assessment
In coordination with your other advisors, we can conduct ongoing reviews and comprehensive reporting to ensure that your strategy adapts to changing financial and family needs.
Clients
We are privileged to serve a select group of entrepreneurs, founders, early employees, Ultra High Net Worth families, and foundations. We typically start working with company founders while they are still illiquid and have most of their wealth tied up in their business. We take pride in building long-term relationships with our clients and maintain a commitment to an exceptional level of professionalism.
Entrepreneurs
Ultra-High Net Worth Families
Corporate Executives
Founders & Early Employees
Foundations & Endowments
Institutions
Transaction Planning
Many of our clients come referred to us in advance of a potential liquidity event. In advising them, we separate our advice into three distinct phases.
PRE-LIQUIDITY
There are many things for the client to consider before approaching investment bankers or potential buyers. Because of our experience in middle-market mergers and acquisitions and exit planning, we try to get clients to specifically address 3 things:
1. Deciding what to sell; to whom; and when - some parts of your business may be of more value to you than to potential buyers. You may want to keep these. Would you rather have management or family own the company even if it's at a lower price? Also, do you feel you are too young to sell, or would you rather start another idea?
2. Fix problems now, before anyone else's opinion is affected… " You only have once chance to make a first impression"
3. Maximum value is achieved through an auction process. Get several buyers into a competitive bid process. Do not approach buyers one at a time.
Before undertaking a sale or monetization, we help clients think through various estate planning and tax sensitive strategies to maximize after-sale proceeds as well as optimize generational wealth transfer.
PRE-LIQUIDITY
There are many things for the client to consider before approaching investment bankers or potential buyers. Because of our experience in middle-market mergers and acquisitions and exit planning, we try to get clients to specifically address 3 things:
1. Deciding what to sell; to whom; and when - some parts of your business may be of more value to you than to potential buyers. You may want to keep these. Would you rather have management or family own the company even if it's at a lower price? Also, do you feel you are too young to sell, or would you rather start another idea?
2. Fix problems now, before anyone else's opinion is affected… " You only have once chance to make a first impression"
3. Maximum value is achieved through an auction process. Get several buyers into a competitive bid process. Do not approach buyers one at a time.
Before undertaking a sale or monetization, we help clients think through various estate planning and tax sensitive strategies to maximize after-sale proceeds as well as optimize generational wealth transfer.
Jesse Bromberg named Forbes Magazine’s Best-In-State Wealth Advisors: 2018–2023
"The Forbes ranking of Best-In-State Wealth Advisors, developed by SHOOK Research, is based on an algorithm of qualitative criteria, mostly gained through telephone and in-person due diligence interviews, and quantitative data. Those Advisors that are considered have a minimum of seven years experience, and the algorithm weighs factors like revenue trends, assets under management, compliance records, industry experience and those that encompass best practices in their practices and approach to working with clients, records, industry experience and best practices learned through telephone and in-person interviews."
"Here's what our research has found: the very best advisors are laser focused on having a positive impact on their clients' lives," says R.J. Shook, president and founder, SHOOK Research. "They want to add meaning, help them live better lives."
2018-2023 Forbes Best-In- State Wealth Advisors
Source: Forbes.com (Awarded 2018-2023). Data compiled by SHOOK Research LLC based 12-month time period concluding in June of year prior to the issuance of the award.
Jesse Bromberg Forbes Magazine’s Best-In-State Wealth Advisors 2023"Here's what our research has found: the very best advisors are laser focused on having a positive impact on their clients' lives," says R.J. Shook, president and founder, SHOOK Research. "They want to add meaning, help them live better lives."
2018-2023 Forbes Best-In- State Wealth Advisors
Source: Forbes.com (Awarded 2018-2023). Data compiled by SHOOK Research LLC based 12-month time period concluding in June of year prior to the issuance of the award.
Jesse Bromberg named Forbes Magazine’s Top Wealth Advisor Nationally: 2016 - 2024
"This year's list includes 250 advisors, who manage $1.4 trillion in client assets. Advisors were nominated by their firm and then vetted and ranked by SHOOK Research."
The Forbes ranking of American Top Wealth Advisors, developed by SHOOK Research, is based on an algorithm of qualitative and quantitative data, rating thousands of wealth advisors with a minimum of seven years of experience and weighing factors like revenue trends, assets under management, compliance records, industry experience and best practices learned through telephone and in person interviews.
2016-2018 Forbes America's Top Wealth Advisors
Source: Forbes.com (Awarded 2016-2018). Data compiled by SHOOK Research LLC based 12-month time period concluding in June of the year the award was issued.
2019-2024 Forbes America's Top Wealth Advisors
Source: Forbes.com (Awarded 2019-2024). Data compiled by SHOOK Research LLC based on 12-month time period concluding in March of the year the award was issued.
Jesse Bromberg Forbes Magazine’s Top Wealth Advisor Nationally 2024The Forbes ranking of American Top Wealth Advisors, developed by SHOOK Research, is based on an algorithm of qualitative and quantitative data, rating thousands of wealth advisors with a minimum of seven years of experience and weighing factors like revenue trends, assets under management, compliance records, industry experience and best practices learned through telephone and in person interviews.
2016-2018 Forbes America's Top Wealth Advisors
Source: Forbes.com (Awarded 2016-2018). Data compiled by SHOOK Research LLC based 12-month time period concluding in June of the year the award was issued.
2019-2024 Forbes America's Top Wealth Advisors
Source: Forbes.com (Awarded 2019-2024). Data compiled by SHOOK Research LLC based on 12-month time period concluding in March of the year the award was issued.
Jesse Bromberg named Barron’s Top 100 Financial Advisors in the US: 2020
"The Top 100 advisors run lucrative practices. Their teams, which typically comprise 15 people, pulled in average revenue of nearly $21 million this past year from an average of about 1,700 client households. Their typical account minimum is a little over $7 million, and, with a client retention rate approaching 99%, they can boast of having satisfied customers."
"Barron's goal is to shine a spotlight on the nation's best financial advisors, with an eye toward raising standards in the industry. The rankings serve two distinct types of Barron's readers. For wealth management professionals, they serve as an industry scorecard. For Investors, the rankings are a tool that can help in the process of finding financial guidance.
Barron's Top 100 Financial Advisors
Source: Barron's.com (Awarded Apr 2020) Data compiled by Barron's based on time period from Dec 2018 - Dec 2019.
"Barron's goal is to shine a spotlight on the nation's best financial advisors, with an eye toward raising standards in the industry. The rankings serve two distinct types of Barron's readers. For wealth management professionals, they serve as an industry scorecard. For Investors, the rankings are a tool that can help in the process of finding financial guidance.
Barron's Top 100 Financial Advisors
Source: Barron's.com (Awarded Apr 2020) Data compiled by Barron's based on time period from Dec 2018 - Dec 2019.
Jesse Bromberg named Barron’s Magazine’s Top 1,200 Advisors Nationally: 2012-2024
This special report ranks the top advisors in each of the 50 states, plus the District of Columbia, with the number of spots determined by each state's population and wealth. The rankings are based on assets under management, revenues generated by advisors for their firms, and the quality of the advisors' practices. Investment performance isn't an explicit criterion because performance is often a function of each client's appetite for risk. In evaluating advisors, we examine regulatory records, internal company documents, and 100-plus points of data provided by the advisors themselves. - Steve Garmhausen
2012-2024 Barron's Top 1,200 Financial Advisors: State-by-State (formerly referred to as Barron's Top 1,000 Financial Advisors: State-by-State)
Source: Barrons.com (Awarded 2012-2024). Data compiled by Barron's based on 12-month period concluding in Sept of the year prior to the issuance of the award.
Jesse Bromberg Barron’s Magazine’s Top 1,200 Advisors Nationally 20242012-2024 Barron's Top 1,200 Financial Advisors: State-by-State (formerly referred to as Barron's Top 1,000 Financial Advisors: State-by-State)
Source: Barrons.com (Awarded 2012-2024). Data compiled by Barron's based on 12-month period concluding in Sept of the year prior to the issuance of the award.
Barrons Top 250 Wealth Management Teams
The “Barron’s Top 250 Private Wealth Management Teams” is a select group of wealth management teams that focus on serving individuals and families. The teams are ranked on a variety of factors, including their size and shape, the regulatory records and credentials of their members and the resources they have at their disposal to serve their client bases.
Jesse Bromberg Morgan Stanley Chairman’s Club, Top Financial Advisors: 2000-2022
"The Firm's prestigious Chairman's Club is an elite group composed of the firm's top Financial Advisors. The appointment recognizes Jesse Bromberg's creativity and excellence in providing a wide range of investment products and wealth management services to his clients."
CERTIFIED PRIVATE WEALTH ADVISOR® (Nelly Berkovskaya)
Certified Private Wealth Advisor® (CPWA®) is an advanced education and certification program for financial advisors who work with high-net-worth clients on the life-cycle of wealth: accumulation, preservation, and distribution. The holistic, multidisciplinary CPWA program requires advisors to meet rigorous standards: EXPERIENCE: At least five years of relevant financial services experience and a clean regulatory record ETHICS: Comply with the Institute Code of Professional Responsibility or lose the certification, EDUCATION: Complete executive education at a top 25 global business school. EXAM: Pass a stringent five–hour examination, CONTINUING COMPETENCY: Stay updated on industry trends, laws, and products with 40 hours of continuing education every two years, including two hours of ethics education.
CHARTERED FINANCIAL ANALYST® (James Paik, Tom Judson)
A globally recognized professional certification that educates and tests investment professionals to promote competence and integrity. Candidates are required to pass three levels of exams covering areas such as accounting, economics, ethics, money management and security analysis. CFA charter holders wield an extensive body of knowledge in investing and global financial markets, placing clients’ interests above their own, dedicating themselves to achieving the best outcomes for investors. Fewer than 1 in 5 candidates successfully complete all three levels of the CFA program.
CERTIFIED FINANCIAL PLANNER® (Nelly Berkovskaya)
The CERTIFIED FINANCIAL PLANNER® certification is awarded to candidates who have demonstrated expertise in the areas of Education, Investment, Tax, Retirement, Estate and Insurance planning. CFP® Professionals must accrue several years of experience related to delivering financial planning services to clients and pass a comprehensive exam before calling themselves a CFP® Professional and are held to strict ethical standards to ensure financial planning recommendations are in the best interest of their clients.
Family Wealth Director (Nelly Berkovskaya)
The Family Wealth Director (FWD) designation at Morgan Stanley is a prestigious title awarded to a select group of financial advisors who have demonstrated extensive experience and expertise in serving ultra-high-net-worth families. Held by fewer than 4% of advisors, it requires nomination by firm leadership and completion of an advanced accreditation program covering estate planning, alternative investments, business succession, control and restricted securities, and more. FWDs provide tailored services to address the complex, multigenerational challenges associated with managing significant wealth.
Jesse Bromberg named to Forbes America’s Top Wealth Advisors and Best-in-State Wealth Advisors List: 2025.
The Forbes ranking of America’s Top Wealth Advisors and Best-In-State Wealth Advisors, developed by SHOOK Research, is based on an algorithm of qualitative criteria learned through telephone, virtual and in-person due diligence interviews, and quantitative data such as revenue trends and assets under management. The algorithm additionally weighs factors such as service models, compliance records and industry experience, and focuses on those that encompass best practices in their approach to working with clients.
All advisors that are considered have a minimum of seven years experience. Portfolio performance is not a criterion due to varying client objectives and lack of audited data. Neither Forbes nor SHOOK receive a fee in exchange for rankings.
Source: Forbes (Awarded April 2025) Data compiled by SHOOK Research LLC based on time period from 6/30/23-6/30/24.
All advisors that are considered have a minimum of seven years experience. Portfolio performance is not a criterion due to varying client objectives and lack of audited data. Neither Forbes nor SHOOK receive a fee in exchange for rankings.
Source: Forbes (Awarded April 2025) Data compiled by SHOOK Research LLC based on time period from 6/30/23-6/30/24.
Location
101 California St 23rd
Fl
San Francisco, CA 94111
US
Direct:
(415) 693-6876(415) 693-6876
Toll-Free:
(800) 248-3565(800) 248-3565
Meet The Bromberg Group
Nelly Berkovskaya, CFP®, CPWA®
First Vice President, Financial Advisor, Executive Financial Services Director, CERTIFIED FINANCIAL PLANNER®, Certified Private Wealth Advisor®, Family Wealth Director
Phone:
(415) 955-1522(415) 955-1522
Associate Vice President, Financial Advisor, Executive Financial Services Director, Financial Planning Specialist
Phone:
(415) 693-6067(415) 693-6067
Phone:
(415) 693-6199(415) 693-6199
Sean Pipkin
Senior Vice President, Team COO, Portfolio Manager
Phone:
(415) 693-6848(415) 693-6848
Jon King
Vice President, Portfolio Manager Specialist
Phone:
(415) 693-7575(415) 693-7575
James Paik, CFA®
Investment Consultant
Phone:
(415) 693-6791(415) 693-6791
Thomas Gammer
Registered Client Service Associate
Phone:
(415) 693-6985(415) 693-6985
Carlos Herrera, CFP®
Group Director
Phone:
(415) 693-1377(415) 693-1377
Ivan Yang
Registered Client Service Associate
Phone:
(415) 693-6201(415) 693-6201
Claire Keller
Wealth Management Associate
Phone:
(415) 693-6293(415) 693-6293
William McKee
Registered Client Service Associate
Phone:
(415) 693-6192(415) 693-6192
About Jesse Bromberg
Jesse Bromberg is the founding partner of the Bromberg Group and a Managing Director at Morgan Stanley.
Jesse is an alumnus of the Wharton School of Business, University of Pennsylvania. Additionally he completed his undergraduate work from the University of California, Santa Barbara and holds a B.A. in Business Economics.
He has extensive experience creating and delivering custom planning and investment solutions for high net worth families. As a fully licensed investment professional, Jesse implements wealth management strategies for clients by concentrating on portfolio management. He focuses on global macro-economic research, asset allocation, portfolio hedging, succession and estate-planning strategies.
Jesse and his team are firmly committed to long-term relationships and strive to deliver exceptional client service. Jesse has been named to the prestigious list, Barron’s 2024 Top 100 Financial Advisors in the U.S. In addition, Jesse has been in the top 75 of Barron’s Top 1200 Financial Advisors since 2012 and has been recognized by Forbes as one of America’s Top 100 Wealth Advisors from Forbes inaugural list in 2016 through the present. Since 2000, Jesse has been a Chairman's Club member at Morgan Stanley, which is a designation given to the top group of financial advisors at the firm. Jesse has also been quoted and profiled in various publications, such as the San Francisco Business Times and The Wall Street Journal.
Jesse serves as a member of the Wharton Alumni Angels.
Additionally, he serves as a member of the Big Brothers Big Sisters of the North Bay Investment Sub-Committee, and regularly speaks to low-income housing teens to tell his story of how personal success is possible.
Jesse is an avid sportsman and enjoys training for triathlons as well as coaching numerous local community teams.
Barron's Top 100 Financial Advisors
Source: Barron's.com (Awarded Apr 2020) Data compiled by Barron's based on time period from Dec 2018 - Dec 2020.
2012-2024 Barron's Top 1,200 Financial Advisors: State-by-State (formerly referred to as Barron's Top 1,000 Financial Advisors: State-by-State)
Source: Barrons.com (Awarded 2012-2024). Data compiled by Barron's based on 12-month period concluding in Sept of the year prior to the issuance of the award.
2016-2018 Forbes America's Top Wealth Advisors
Source: Forbes.com (Awarded 2016-2018). Data compiled by SHOOK Research LLC based 12-month time period concluding in June of the year the award was issued.
2019-2024 Forbes America's Top Wealth Advisors
Source: Forbes.com (Awarded 2019-2024). Data compiled by SHOOK Research LLC based on 12-month time period concluding in March of the year the award was issued.
Jesse is Series 7, 31, 63 and 65 licensed. CA Insurance License #0B62792. NMLS#: 1265070.
Jesse is an alumnus of the Wharton School of Business, University of Pennsylvania. Additionally he completed his undergraduate work from the University of California, Santa Barbara and holds a B.A. in Business Economics.
He has extensive experience creating and delivering custom planning and investment solutions for high net worth families. As a fully licensed investment professional, Jesse implements wealth management strategies for clients by concentrating on portfolio management. He focuses on global macro-economic research, asset allocation, portfolio hedging, succession and estate-planning strategies.
Jesse and his team are firmly committed to long-term relationships and strive to deliver exceptional client service. Jesse has been named to the prestigious list, Barron’s 2024 Top 100 Financial Advisors in the U.S. In addition, Jesse has been in the top 75 of Barron’s Top 1200 Financial Advisors since 2012 and has been recognized by Forbes as one of America’s Top 100 Wealth Advisors from Forbes inaugural list in 2016 through the present. Since 2000, Jesse has been a Chairman's Club member at Morgan Stanley, which is a designation given to the top group of financial advisors at the firm. Jesse has also been quoted and profiled in various publications, such as the San Francisco Business Times and The Wall Street Journal.
Jesse serves as a member of the Wharton Alumni Angels.
Additionally, he serves as a member of the Big Brothers Big Sisters of the North Bay Investment Sub-Committee, and regularly speaks to low-income housing teens to tell his story of how personal success is possible.
Jesse is an avid sportsman and enjoys training for triathlons as well as coaching numerous local community teams.
Barron's Top 100 Financial Advisors
Source: Barron's.com (Awarded Apr 2020) Data compiled by Barron's based on time period from Dec 2018 - Dec 2020.
2012-2024 Barron's Top 1,200 Financial Advisors: State-by-State (formerly referred to as Barron's Top 1,000 Financial Advisors: State-by-State)
Source: Barrons.com (Awarded 2012-2024). Data compiled by Barron's based on 12-month period concluding in Sept of the year prior to the issuance of the award.
2016-2018 Forbes America's Top Wealth Advisors
Source: Forbes.com (Awarded 2016-2018). Data compiled by SHOOK Research LLC based 12-month time period concluding in June of the year the award was issued.
2019-2024 Forbes America's Top Wealth Advisors
Source: Forbes.com (Awarded 2019-2024). Data compiled by SHOOK Research LLC based on 12-month time period concluding in March of the year the award was issued.
Jesse is Series 7, 31, 63 and 65 licensed. CA Insurance License #0B62792. NMLS#: 1265070.
Securities Agent: MT, NC, MO, AL, WY, WI, WA, VT, VA, UT, TX, TN, SD, SC, PA, OR, OK, OH, NY, NV, NM, NJ, NH, ND, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, ID, IL, IN, KS, LA, MA, MD, ME, MI, MN; General Securities Representative; Investment Advisor Representative; Managed Futures
NMLS#: 1265070
NMLS#: 1265070
About Nelly Berkovskaya
As a Family Wealth Director with the Bromberg Group at Morgan Stanley Wealth Management, Nelly collaborates with a team of specialists to assist ultra-high-net-worth individuals, families, and businesses in simplifying the complexity of their financial lives. In this role, she leverages specialized resources and strategies tailored to the unique needs of affluent clients, including estate planning, family governance, philanthropy management, and risk management strategies.
Nelly has been in the financial services industry since 2011. Prior to joining Morgan Stanley, she worked at Merrill Lynch as a financial advisor on the Private Banking Team.
Nelly graduated from University of Massachusetts with a Bachelor's degree in Economics and International Relations, Magna Cum Laude.
During her time in college, Nelly spent time living in London and studying at the London School of Economics. In her spare time, Nelly enjoys running, golfing, traveling, and spending time with family and friends. Originally from Russia, Nelly is fluent in Russian. She lives in Burlingame, California with her partner Everett and their daughter, Eva.
Nelly holds a Certified Financial Planner (CFP®) and Certified Private Wealth Advisor (CPWA®) designation, and is Series 7 and 66 Licensed.
2025 Forbes Top Women Wealth Advisors Best-In- State
Source: Forbes.com (Awarded Feb 2025) Data compiled by SHOOK Research LLC for the period 9/30/23 - 9/30/24.
CA Insurance License #0K29561. NMLS# 1022268.
Nelly has been in the financial services industry since 2011. Prior to joining Morgan Stanley, she worked at Merrill Lynch as a financial advisor on the Private Banking Team.
Nelly graduated from University of Massachusetts with a Bachelor's degree in Economics and International Relations, Magna Cum Laude.
During her time in college, Nelly spent time living in London and studying at the London School of Economics. In her spare time, Nelly enjoys running, golfing, traveling, and spending time with family and friends. Originally from Russia, Nelly is fluent in Russian. She lives in Burlingame, California with her partner Everett and their daughter, Eva.
Nelly holds a Certified Financial Planner (CFP®) and Certified Private Wealth Advisor (CPWA®) designation, and is Series 7 and 66 Licensed.
2025 Forbes Top Women Wealth Advisors Best-In- State
Source: Forbes.com (Awarded Feb 2025) Data compiled by SHOOK Research LLC for the period 9/30/23 - 9/30/24.
CA Insurance License #0K29561. NMLS# 1022268.
Securities Agent: MA, NY, NH, NC, HI, IL, GA, CO, ID, OR, KS, CT, NJ, AL, PA, MI, DC, NV, MN, MD, CA, VA, UT, TX, FL, AZ, WA; General Securities Representative; Investment Advisor Representative
NMLS#: 1022268
CA Insurance License #: 0K29561
NMLS#: 1022268
CA Insurance License #: 0K29561
About Alex Pulido
Alex has focused his talents and knowledge on serving the investment and lending needs of high-net-worth clients and corporations.
He is responsible for designing and implementing retirement plans that help our clients attain the retirement lifestyle they aspire to and guiding corporations and their employees in choosing the most suitable retirement investments.
Alex's career has spanned 12 years in the banking space. Starting with a Regional Bank in 2000, Alex has managed many high-profile branches. Early on, Alex recognized his passion for helping people make the right choices so that they could be financially independent later in life and which motivated his successful transition into Private Banking.
He joined the Bromberg Group at Morgan Stanley in 2011 beginning a career that brings him enjoyment and which has allowed him the opportunity to provide tailored personalized advice above and beyond product based tactical advisory services.
When Alex is not in the office you might find him Mountain biking or hiking with his wife, Lourdes, and two children, Ariana and Niko.
Alex is Series 7 and 66 Licensed. CA Insurance License #OG89170. NMLS: 1265288.
He is responsible for designing and implementing retirement plans that help our clients attain the retirement lifestyle they aspire to and guiding corporations and their employees in choosing the most suitable retirement investments.
Alex's career has spanned 12 years in the banking space. Starting with a Regional Bank in 2000, Alex has managed many high-profile branches. Early on, Alex recognized his passion for helping people make the right choices so that they could be financially independent later in life and which motivated his successful transition into Private Banking.
He joined the Bromberg Group at Morgan Stanley in 2011 beginning a career that brings him enjoyment and which has allowed him the opportunity to provide tailored personalized advice above and beyond product based tactical advisory services.
When Alex is not in the office you might find him Mountain biking or hiking with his wife, Lourdes, and two children, Ariana and Niko.
Alex is Series 7 and 66 Licensed. CA Insurance License #OG89170. NMLS: 1265288.
Securities Agent: AZ, MA, WA, SC, GA, OK, NV, MS, MN, UT, AL, OR, TX, PA, NH, KS, MD, HI, VA, CT, CA, TN, FL, NJ, IL, NY, CO, ID, NC, DC; General Securities Representative; Investment Advisor Representative
NMLS#: 1265288
CA Insurance License #: #0G89170
NMLS#: 1265288
CA Insurance License #: #0G89170
About Gene Chung
With over 30 years in financial services, Gene joined Morgan Stanley in 1997 and spent his first twelve years in the firm’s Institutional Equity Division assisting mutual fund and hedge fund clients with equity research, equity derivatives and large capital market transactions. While in this role, Gene distinguished himself as the firm’s first Institutional Equity producing Managing Director in 2006. Since 2008, Gene has been an advisor in the firm’s Wealth Management division. Gene works closely with multi-generational families, family offices, financial institutions and foundations advising them on asset allocation, security selection, portfolio management and providing ancillary support in lending, family office services, lifestyle advisory and philanthropy management. In 2024, Gene joined the Bromberg Group at Morgan Stanley. Born and raised in the Midwest from a family of martial artists and educators, Gene received a BS in Business Administration from the University of Southern California and an MBA from UCLA. Gene lives in San Francisco with his two college aged children and enjoys running, golf and collecting antiques.
Securities Agent: DE, CO, IL, HI, FL, WA, UT, MA, MI, TX, RI, NC, SC, CA, AZ, NV, ME, KS, PA, OR, OH, NY, NH, CT, WY; General Securities Representative; Investment Advisor Representative; Transactional Futures/Commodities; Managed Futures
NMLS#: 1278715
NMLS#: 1278715
About Sean Pipkin
With over two decades of experience in the financial services industry, Sean has dedicated his career to creating and delivering custom planning and investment solutions for high-net-worth individuals.
Utilizing a portfolio-based strategic approach, Sean helps create wealth management strategies carefully crafted for each unique client. A multi-disciplinary, versatile team member, he focuses primarily on equity research and portfolio hedging strategies, but also has extensive experience in equity block trading, fixed income trading, and syndicate trading.
Sean coordinates The Bromberg Group’s Corporate Executive services, developing techniques to help manage concentrated positions in private and publicly traded securities.
Sean is an alumnus of Boston University, holding a B.A. in Economics.
Sean’s hobbies include skiing and fly fishing. He currently resides in San Francisco with his partner, Kristina, and their two sons: Cole and Maddox.
Sean is Series 7, 63, and 65 licensed.
Utilizing a portfolio-based strategic approach, Sean helps create wealth management strategies carefully crafted for each unique client. A multi-disciplinary, versatile team member, he focuses primarily on equity research and portfolio hedging strategies, but also has extensive experience in equity block trading, fixed income trading, and syndicate trading.
Sean coordinates The Bromberg Group’s Corporate Executive services, developing techniques to help manage concentrated positions in private and publicly traded securities.
Sean is an alumnus of Boston University, holding a B.A. in Economics.
Sean’s hobbies include skiing and fly fishing. He currently resides in San Francisco with his partner, Kristina, and their two sons: Cole and Maddox.
Sean is Series 7, 63, and 65 licensed.
About Jon King
Jon is a multi-faceted career financial service professional with experience working in wealth advisory and institutional equity sales, as well as in other client-facing roles. Throughout all his experiences, he has honed many invaluable skills, among them: excellent customer service capabilities, customized investment management presentations, and new business planning.
Jon’s is responsible for coordinating daily client service initiatives and administration of group activities. Most of Jon’s time is spent providing clients with a high level of personalized service. He is adept at identifying and addressing client needs through day-to-day discussions and meetings.
In addition to service and support roles (including portfolio analysis, account administration, and account maintenance), he revies financial information to assess strategic tracking of financial objectives. Jon regularly conducts portfolio trading for clients. He also collects and reviews research information, keeping the Group up to date with managed portfolio investments.
Jon is an alumnus of Stanford University, where he double majored in Psychology and English. He lives in San Francisco with his wife, Ana. In his spare time, Jon enjoys photography, traveling, and non-fiction reading.
Jon is Series 7, 63, 65, 24, and 87 licensed. NMLS# 2469115
Jon’s is responsible for coordinating daily client service initiatives and administration of group activities. Most of Jon’s time is spent providing clients with a high level of personalized service. He is adept at identifying and addressing client needs through day-to-day discussions and meetings.
In addition to service and support roles (including portfolio analysis, account administration, and account maintenance), he revies financial information to assess strategic tracking of financial objectives. Jon regularly conducts portfolio trading for clients. He also collects and reviews research information, keeping the Group up to date with managed portfolio investments.
Jon is an alumnus of Stanford University, where he double majored in Psychology and English. He lives in San Francisco with his wife, Ana. In his spare time, Jon enjoys photography, traveling, and non-fiction reading.
Jon is Series 7, 63, 65, 24, and 87 licensed. NMLS# 2469115
About James Paik
James joined The Bromberg Group in 2021. He has a diverse history in the financial services and banking industry, possessing over 18 years of experience in relationship management, lending, and corporate finance.
James has a passion for building long-lasting client relationships. He works closely with clients to develop a detailed understanding of investment objectives, risk tolerance, and all additional unique needs and preferences. He is committed to helping clients prioritize, quantify, and achieve their long-term financial goals, especially as their needs change over time.
James obtained his B.A. in Cognitive Science from The University of California, Berkeley. He is Series 7 and 66 licensed.
In his spare time, he enjoys traveling and experiencing new foods, cultures, and languages. At home, he enjoys watching sports and spending as much time with his wife and loved ones as possible.
James has a passion for building long-lasting client relationships. He works closely with clients to develop a detailed understanding of investment objectives, risk tolerance, and all additional unique needs and preferences. He is committed to helping clients prioritize, quantify, and achieve their long-term financial goals, especially as their needs change over time.
James obtained his B.A. in Cognitive Science from The University of California, Berkeley. He is Series 7 and 66 licensed.
In his spare time, he enjoys traveling and experiencing new foods, cultures, and languages. At home, he enjoys watching sports and spending as much time with his wife and loved ones as possible.
About Thomas Gammer
Thomas has multiple years’ experience in Private Wealth Management, with an emphasis in account maintenance and relationship management. He graduated from University of California, Davis with a B.A. in Economics in 2022 and began his financial services career shortly thereafter. Prior to Morgan Stanley, Thomas worked as a Registered Client Service Associate at Stifel in San Francisco, servicing High and Ultra-High Net Worth Clients. He enjoys running, soccer, sailing, and spending time with friends and family. As a Bay Area native, Thomas is a huge Golden State Warriors fan. Thomas is Series 7 and 66 licensed.
About Carlos Herrera
Carlos is a seasoned financial professional with a wealth of experience spanning over two decades in the industry. Carlos is focused on delivering exceptional service to clients.
Previously, Carlos served as a Director in Private Wealth Management-Equity Trading at First Republic Bank, where he oversaw daily order execution across various markets, utilizing algorithmic trading strategies for optimal results. Carlos has also held positions at Merrill Lynch Wealth Management, focusing on client-centric wealth solutions, and at Harvest Capital Strategies, implementing hedge fund investment strategies with a focus on equity trading.
His extensive expertise also includes roles at Robertson Stephens, where he honed his skills in market making, equity trading, and risk management.
Carlos holds a BA in Sociology with Business emphasis from the University of California, Los Angeles, and a Certificate in Personal Financial Planning from UCLA.
An avid sports fan, he enjoys watching and playing soccer. He also enjoys traveling, hiking, and spending time with family and friends. Carlos is married and lives in San Francisco with his wife Sonali.
Carlos holds the Certified Financial Planner (CFP®) designation and is Series 7 and 66 licensed.
Previously, Carlos served as a Director in Private Wealth Management-Equity Trading at First Republic Bank, where he oversaw daily order execution across various markets, utilizing algorithmic trading strategies for optimal results. Carlos has also held positions at Merrill Lynch Wealth Management, focusing on client-centric wealth solutions, and at Harvest Capital Strategies, implementing hedge fund investment strategies with a focus on equity trading.
His extensive expertise also includes roles at Robertson Stephens, where he honed his skills in market making, equity trading, and risk management.
Carlos holds a BA in Sociology with Business emphasis from the University of California, Los Angeles, and a Certificate in Personal Financial Planning from UCLA.
An avid sports fan, he enjoys watching and playing soccer. He also enjoys traveling, hiking, and spending time with family and friends. Carlos is married and lives in San Francisco with his wife Sonali.
Carlos holds the Certified Financial Planner (CFP®) designation and is Series 7 and 66 licensed.
About Ivan Yang
Ivan Yang is a Registered Client Service Associate with The Bromberg Group. He has experience in the ultra-high-net-worth space in client relationship management and account maintenance.
Ivan began his financial services career in the Private Wealth Management division of Morgan Stanley servicing High and Ultra-High Net Worth Clients.
He provides daily operational coverage, performance reporting, and has experience with Alternative Investments.
Ivan graduated from the University of Hawaii with a B.S. in Biology.
He currently resides in San Francisco, CA. In his free time Ivan enjoys golfing, traveling, photography, and spending time with friends and family.
Ivan is Series 7 and 66 licensed.
Ivan began his financial services career in the Private Wealth Management division of Morgan Stanley servicing High and Ultra-High Net Worth Clients.
He provides daily operational coverage, performance reporting, and has experience with Alternative Investments.
Ivan graduated from the University of Hawaii with a B.S. in Biology.
He currently resides in San Francisco, CA. In his free time Ivan enjoys golfing, traveling, photography, and spending time with friends and family.
Ivan is Series 7 and 66 licensed.
About Claire Keller
Claire has multiple years of experience in financial advisory, with an emphasis in retirement planning and relationship management.
Originally from Ireland and Switzerland, Claire relocated to the Bay Area and attended Marin Catholic High School. She then went on to graduate from Miami University with a B.S. in Business Management.
Prior to joining Morgan Stanley, Claire worked in asset management at Fidelity Investments and as a private financial planner.
Outside of work, Claire enjoys tennis, hiking, skiing, and spending time with friends and family.
Claire is Series 7 and 66 licensed.
Originally from Ireland and Switzerland, Claire relocated to the Bay Area and attended Marin Catholic High School. She then went on to graduate from Miami University with a B.S. in Business Management.
Prior to joining Morgan Stanley, Claire worked in asset management at Fidelity Investments and as a private financial planner.
Outside of work, Claire enjoys tennis, hiking, skiing, and spending time with friends and family.
Claire is Series 7 and 66 licensed.
About William McKee
William McKee is a Registered Client Service Associate with the Bromberg Group
He has experience in the ultra-high-net-worth space in client relationship management and account maintenance.
Born and raised in the Bay Area, William attended St. Ignatius College Prep in San Francisco where he was captain of the Football and Lacrosse teams. He then went on to play Division-I Lacrosse at Lehigh University in Bethlehem, PA where he majored in Economics.
Prior to joining Morgan Stanley, William worked in wealth management with Lenox Advisors and was Athletic Director and Board Member at East Bay School for boys. On weekends William enjoys spending time with family, golfing and cycling.
William is Series 7 and 66 licensed.
He has experience in the ultra-high-net-worth space in client relationship management and account maintenance.
Born and raised in the Bay Area, William attended St. Ignatius College Prep in San Francisco where he was captain of the Football and Lacrosse teams. He then went on to play Division-I Lacrosse at Lehigh University in Bethlehem, PA where he majored in Economics.
Prior to joining Morgan Stanley, William worked in wealth management with Lenox Advisors and was Athletic Director and Board Member at East Bay School for boys. On weekends William enjoys spending time with family, golfing and cycling.
William is Series 7 and 66 licensed.
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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 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 (“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.
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.
4Morgan 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.
5Morgan 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.
6Products 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.
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 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
9Morgan 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.
10Morgan 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.
11Morgan 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.
12Morgan 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.
13Alternative 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.
14Products 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 does not assist with buying or selling art in any way and merely provides information to clients interested learning more about the different types of art markets at a high level. Any client interested in buying or selling art should consult with their own independent art advisor.
15Participating in a new issue/syndicate is subject to availability. IPOs are highly speculative and may not be appropriate for all investors because they lack a stock-trading history and usually involve smaller and newer companies that tend to have limited operating histories, less-experienced management teams, and fewer products or customers. Also, the offering price of an IPO reflects a negotiated estimate as to the value of the company, which may bear little relationship to the trading price of the securities, and it is not uncommon for the closing price of the shares shortly after the IPO to be well above or below the offering price.
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 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 (“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.
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.
4Morgan 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.
5Morgan 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.
6Products 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.
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 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
9Morgan 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.
10Morgan 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.
11Morgan 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.
12Morgan 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.
13Alternative 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.
14Products 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 does not assist with buying or selling art in any way and merely provides information to clients interested learning more about the different types of art markets at a high level. Any client interested in buying or selling art should consult with their own independent art advisor.
15Participating in a new issue/syndicate is subject to availability. IPOs are highly speculative and may not be appropriate for all investors because they lack a stock-trading history and usually involve smaller and newer companies that tend to have limited operating histories, less-experienced management teams, and fewer products or customers. Also, the offering price of an IPO reflects a negotiated estimate as to the value of the company, which may bear little relationship to the trading price of the securities, and it is not uncommon for the closing price of the shares shortly after the IPO to be well above or below the offering price.
Check the background of our Firm and Investment Professionals on FINRA's BrokerCheck*.
The information, products and services described here are intended only for individuals residing in states where this Financial Advisor is properly registered as described in this site.
Morgan Stanley reserves the right, to the extent permitted under applicable law, to retain and monitor all electronic communications. Morgan Stanley will not accept purchase or sale orders via any Internet site, social media site and/or its messaging systems. Morgan Stanley does not endorse and is not responsible and assumes no liability for content, products or services posted by third-parties on any Internet site, social media site and/or its messaging systems. All electronic communications are subject to terms available at the following link:
https://www.morganstanley.com/disclaimers/mswm-email.html. Any profiles and associated content are for U.S. residents only.
The securities/instruments, services, investments and investment strategies discussed in this material may not be appropriate for all investors. The appropriateness of a particular investment, investment strategy or service will depend on an investor's individual circumstances and objectives. Morgan Stanley Smith Barney LLC recommends that investors independently evaluate particular investments, strategies and services, and encourages investors to seek the advice of a Financial Advisor or Private Wealth Advisor. This material does not provide individually tailored investment advice. It has been prepared without regard to the individual financial circumstances and objectives of persons who receive it.
Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors or Private Wealth Advisors do not provide tax or legal advice. Individuals should consult their tax advisor for matters involving taxation and tax planning and their attorney for legal matters.
Morgan Stanley Smith Barney LLC (“Morgan Stanley”) is not implying an affiliation, sponsorship, endorsement with/of the third party or that any monitoring is being done by Morgan Stanley of any information contained within the website. Morgan Stanley is not responsible for the information contained on the third-party website or the use of or inability to use such site. Nor do we guarantee their accuracy or completeness.
The views, opinions or advice contained within third party websites or materials are solely those of the author, who is not a Morgan Stanley employee, and do not necessarily reflect those of Morgan Stanley Smith Barney LLC, or its affiliates. The strategies and/or investments referenced may not be appropriate for all investors as the appropriateness of a particular investment or strategy will depend on an investor's individual circumstances and objectives.
*References to length of service at Morgan Stanley include years at Morgan Stanley and predecessor firms.
Certified Financial Planner Board of Standards Inc. owns the certification marks CFP®, CERTIFIED FINANCIAL PLANNER™ and federally registered CFP (with flame design) in the U.S, which it awards to individuals who successfully complete CFP Board’s initial and ongoing certification requirements.
The use of the CDFA designation does not permit the rendering of legal advice by Morgan Stanley or its Financial Advisors which may only be done by a licensed attorney. The CDFA designation is not intended to imply that either Morgan Stanley or its Financial Advisors are acting as experts in this field.
Awards Disclosures
CRC 6491812 (04/2024)
