Senior Vice President, Financial Advisor, Senior Portfolio Manager, Workplace Advisor - Equity Compensation
Phone:
(216) 360-4971(216) 360-4971
The Doll Wealth Management Group at Morgan Stanley
Beverly Hills:
(310) 728-0002(310) 728-0002
Cleveland/Pepper Pike:
(216) 360-4981(216) 360-4981
Our Mission Statement
Experience, intellectual capital and dedicated personal service to help you meet your life goals
Our Approach to Wealth Management
Experience, Intellectual Capital and Dedicated Personal Service to Help Meet Your Life Goals.
Empowering families to achieve and maintain financial independence is the fundamental principle that drives our practice. We focus on what is most important to you and provide the critical thinking, specialized skills and global resources to enable you to make more informed decisions about your finances. Our ultimate goal — through a comprehensive goals-based wealth management process — is to help bring clarity and focus on what matters most to you, so you can manage your wealth more effectively in today’s complex global market environment.
Our approach covers the full spectrum of customized strategies. We begin by determining your goals and outlining your financial portrait. I then help you build a plan tailored to your specific goals. Once implemented, we will periodically track your progress as you move through life, adjusting your plan when necessary.
Committed to helping you protect and grow your assets, we are focused on providing timely, unbiased advice and earning your confidence every day to make a real difference in your life.
Empowering families to achieve and maintain financial independence is the fundamental principle that drives our practice. We focus on what is most important to you and provide the critical thinking, specialized skills and global resources to enable you to make more informed decisions about your finances. Our ultimate goal — through a comprehensive goals-based wealth management process — is to help bring clarity and focus on what matters most to you, so you can manage your wealth more effectively in today’s complex global market environment.
Our approach covers the full spectrum of customized strategies. We begin by determining your goals and outlining your financial portrait. I then help you build a plan tailored to your specific goals. Once implemented, we will periodically track your progress as you move through life, adjusting your plan when necessary.
Committed to helping you protect and grow your assets, we are focused on providing timely, unbiased advice and earning your confidence every day to make a real difference in your life.
Services Include
- Wealth ManagementFootnote1
- Alternative InvestmentsFootnote2
- Qualified Retirement PlansFootnote3
- Corporate Retirement PlansFootnote4
- Defined Contribution PlansFootnote5
- Endowments and FoundationsFootnote6
- Estate Planning StrategiesFootnote7
- Institutional ServicesFootnote8
- Asset Management
- Qualified Plans
- Retirement PlanningFootnote9
- Long Term Care InsuranceFootnote10
- Life InsuranceFootnote11
- 401(k) Rollovers
- Business PlanningFootnote12
- Wealth PlanningFootnote13
Check the background of Our Firm and Investment Professionals on FINRA's BrokerCheck.*
Working With You
You work hard to build wealth in pursuit of a meaningful life for you and your family. As your Financial Advisor, we will work just as hard on your behalf, committing our experience, knowledge and skills to helping you achieve your specific goals. What’s more, we will support you and your strategy by accessing the resources and insight of one of the world’s largest financial firms.
Since 1935, Morgan Stanley has been guided by its founding principle: Do what is right for each client. The firm continuously leverages its intellectual capital and global reach to create and deliver targeted strategies for financially successful individuals like you.
What’s more, its open architecture platform and goals-based wealth management approach empowers us to recommend world-class products and services for your specific situation and goals, eliminating any conflict of interest issues that can be present when using only proprietary investment products.
Since 1935, Morgan Stanley has been guided by its founding principle: Do what is right for each client. The firm continuously leverages its intellectual capital and global reach to create and deliver targeted strategies for financially successful individuals like you.
What’s more, its open architecture platform and goals-based wealth management approach empowers us to recommend world-class products and services for your specific situation and goals, eliminating any conflict of interest issues that can be present when using only proprietary investment products.
Location
9665 Wilshire Blvd
Ste 600
Beverly Hills, CA 90212
US
Direct:
(310) 728-0002(310) 728-0002
31099 Chagrin Blvd
Suite 300
Cleveland/Pepper Pike, OH 44124
US
Direct:
(216) 360-4981(216) 360-4981
Meet The Doll Wealth Management Group
Executive Director, Financial Advisor, Senior Portfolio Manager, Alternative Investments Director, Lending Specialist, Workplace Advisor - Equity Compensation
Phone:
(310) 285-4881(310) 285-4881
Michael Vary
Senior Vice President, Financial Advisor, Portfolio Management Director, Workplace Advisor - Equity Compensation
Phone:
(216) 360-4913(216) 360-4913
Mira C. Bailey
Director of Business Strategy
Phone:
(216) 360-4975(216) 360-4975
Kellen S. Birdsall
Wealth Management Associate
Phone:
(310) 285-4891(310) 285-4891
Sue J. Banas
Senior Registered Associate
Phone:
(310) 285-4838(310) 285-4838
Lindsey M. Boot
Client Relationship Analyst
Phone:
(216) 360-4981(216) 360-4981
About David A Doll
David is the leading partner of The Doll Wealth Management Group and has been in the investment business for over 30 years. He has significant experience working with high-net-worth individuals, qualified plans, and non-profits. He spent the early years of his career with Kidder Peabody and later with McDonald Investments. David's areas of focus are in investment strategy, portfolio management, and relationship development.
David earned his Bachelors Degree from Baldwin Wallace University in Ohio and is also a graduate of the Securities Industry Institute at the University of Pennsylvania's prestigious Wharton School. David is active in the community. He currently serves on the boards of several local organizations, including The University Hospitals Cleveland Medical Center and Rainbow Babies and Children’s Hospital boards. Additional he serves on, The Harrington Discovery Institute’s Business advisory board and Northeast Ohio region of the American Red Cross board. He has previously served on the boards of the Cuyahoga Community College Foundation, The Woodruff Foundation, Deaconess Community Foundation, The Cleveland Ballet, Westside Ecumenical Ministries, The Centers for Families and Chrildren and The Gordon Square Arts District.
David and his wife Karen reside in Hunting Valley, Ohio and have three children.
David earned his Bachelors Degree from Baldwin Wallace University in Ohio and is also a graduate of the Securities Industry Institute at the University of Pennsylvania's prestigious Wharton School. David is active in the community. He currently serves on the boards of several local organizations, including The University Hospitals Cleveland Medical Center and Rainbow Babies and Children’s Hospital boards. Additional he serves on, The Harrington Discovery Institute’s Business advisory board and Northeast Ohio region of the American Red Cross board. He has previously served on the boards of the Cuyahoga Community College Foundation, The Woodruff Foundation, Deaconess Community Foundation, The Cleveland Ballet, Westside Ecumenical Ministries, The Centers for Families and Chrildren and The Gordon Square Arts District.
David and his wife Karen reside in Hunting Valley, Ohio and have three children.
Securities Agent: KS, IL, DC, VA, UT, TX, SC, PA, MA, KY, GA, FL, NY, NJ, CA, ID, OR, ME, CT, WI, OK, OH, NV, NC, MD, WY, VT, TN, HI, WV, IN, DE, CO, AZ, WA, MI; BM/Supervisor; General Securities Representative; Investment Advisor Representative; Managed Futures
NMLS#: 1731302
NMLS#: 1731302
About David E. Doll
David is a Wealth Advisor and Executive Director at Morgan Stanley. David advises clients and provides them with insights, services, and strategies to help them achieve their goals. He is passionate about developing tailor-made solutions for his clients and providing clear, direct communication. He values the stable research Morgan Stanley provides, using this knowledge and his experience to establish transparent pathways to his clients’ goals.
David’s clients include high net worth individuals and families, family offices, and C suite executives. David's areas of focus are portfolio management, investment strategy, lending, and financial relationship development. David also proudly serves on the Morgan Stanley Client Communications Committee.
Prior to joining Morgan Stanley, David was an Executive Director at J.P. Morgan. David earned his Bachelor's Degree from Pepperdine University in Malibu, California. David enjoys sailing, biking, golfing, and coaching baseball in his free time. David, his wife, Erin, and their two children reside in Los Angeles’s community of Brentwood in California.
David’s clients include high net worth individuals and families, family offices, and C suite executives. David's areas of focus are portfolio management, investment strategy, lending, and financial relationship development. David also proudly serves on the Morgan Stanley Client Communications Committee.
Prior to joining Morgan Stanley, David was an Executive Director at J.P. Morgan. David earned his Bachelor's Degree from Pepperdine University in Malibu, California. David enjoys sailing, biking, golfing, and coaching baseball in his free time. David, his wife, Erin, and their two children reside in Los Angeles’s community of Brentwood in California.
Securities Agent: AL, VT, MI, ME, KY, IL, OH, NV, DC, IN, CO, SC, OK, TX, PA, CT, MD, MA, GA, DE, UT, TN, NJ, KS, WI, VA, NC, FL, NY, CA, HI, WY, WA, OR, ID, AZ; General Securities Representative; Investment Advisor Representative
NMLS#: 1138538
NMLS#: 1138538
About Michael Vary
Michael began his career as an investment banking analyst for the Royal Bank of Scotland Group. From 2006 to 2008, he worked on the Equity Derivatives sales desk of BNP Paribas in both New York City and Tokyo. Prior to joining Morgan Stanley, Michael was a Financial advisor at UBS for 6 years.
A graduate of Columbia University where he earned his B.A. In Economics, he holds his series 7, 31, 63, and 66 securities licenses. Michael is a current board trustee for The Cleveland Foundry Rowing and Sailing Center. He also serves as Treasurer for the Columbia Alumni Association of Cleveland.
Outside of his professional career, he enjoys spending time with his wife Jaclyn and their five children; Lucas, Jonathan, Michaela, James, and Victoria. He is a supporter and alumnus of St. Ignatius High School in Cleveland.
A graduate of Columbia University where he earned his B.A. In Economics, he holds his series 7, 31, 63, and 66 securities licenses. Michael is a current board trustee for The Cleveland Foundry Rowing and Sailing Center. He also serves as Treasurer for the Columbia Alumni Association of Cleveland.
Outside of his professional career, he enjoys spending time with his wife Jaclyn and their five children; Lucas, Jonathan, Michaela, James, and Victoria. He is a supporter and alumnus of St. Ignatius High School in Cleveland.
Securities Agent: OK, MI, TX, FL, WY, VT, UT, DC, NJ, KS, IL, CT, NY, NC, MA, ID, GA, AZ, WI, WA, PA, AL, OH, ME, KY, HI, TN, MD, IA, VA, SC, OR, NV, IN, DE, CO, CA; General Securities Representative; Investment Advisor Representative; Managed Futures
NMLS#: 1672138
CA Insurance License #: 4048708
NMLS#: 1672138
CA Insurance License #: 4048708
About Mira C. Bailey
Mira has been in the financial services industry for over 25 years. She started her career at Cowen and Company before moving on to McDonald Investments. At McDonald, Mira was the Administrative Director, responsible for managing and implementing strategic and growth initiatives, preparing, and overseeing a large expense budget, motivating, and leading a high-performance team and managing compensation. Prior to joining Doll Wealth Management as a Director of Business Strategy, Mira was a Client Services Manager focused on financial planning and implementation.
Mira earned her Bachelor of Science degree in Business Administration from the University of Akron. She and her husband Mark reside in Kirtland Ohio with their two children.
Mira earned her Bachelor of Science degree in Business Administration from the University of Akron. She and her husband Mark reside in Kirtland Ohio with their two children.
About Kellen S. Birdsall
Kellen is a Wealth Management Associate at Morgan Stanley. He joined Morgan Stanley as a Registered Associate in Vancouver, Washington and became Series 7 & 63 licensed . A native of Renton, Washington, Kellen graduated from California Lutheran University with a degree in Business Management. Kellen played college basketball at California Lutheran University for two years. Kellen joined the Doll Wealth Management Group in 2024 after coming highly recommended by colleagues. His attention to detail and thirst for knowledge on the industry has made him a valued member of the team.
Kellen resides with his girlfriend, in Brentwood, California. They are proud dog and cat owners. They have a Husky named Ghost and a cat named Jeff. In his free time, Kellen is an avid ping pong player and enjoys basketball, football, and soccer.
Kellen resides with his girlfriend, in Brentwood, California. They are proud dog and cat owners. They have a Husky named Ghost and a cat named Jeff. In his free time, Kellen is an avid ping pong player and enjoys basketball, football, and soccer.
About Lindsey M. Boot
Lindsey is a seasoned financial services professional with extensive experience in prime brokerage client service, onboarding, and field support. She began her career as a Prime Brokerage Client Service Analyst at Goldman Sachs & Co., where she spent 14 years on the Global Prime Services team in both New York City and Chicago, ultimately serving as Vice President. Prior to joining Morgan Stanley, Lindsey worked in Atlanta as a Managing Director in Prime Brokerage Client Services and Onboarding at StoneX Group Inc.
Lindsey is a graduate of Colgate University, where she earned a B.A. in Mathematical Economics. She holds Series 4, 7, 24, and 63 securities licenses. Lindsey resides in Gates Mills and enjoys spending time outdoors with her two children.
Lindsey is a graduate of Colgate University, where she earned a B.A. in Mathematical Economics. She holds Series 4, 7, 24, and 63 securities licenses. Lindsey resides in Gates Mills and enjoys spending time outdoors with her two children.
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1Morgan Stanley Wealth Management is the trade name of Morgan Stanley Smith Barney LLC, a registered broker-dealer in the United States. Morgan Stanley Wealth Management is a business of Morgan Stanley Smith Barney LLC.
For more information, please see the Morgan Stanley Smith Barney LLC Client Relationship Summary.
2Alternative 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.
3When Morgan Stanley Smith Barney LLC, its affiliates and Morgan Stanley Financial Advisors and Private Wealth Advisors (collectively, “Morgan Stanley”) provide “investment advice” regarding a retirement or welfare benefit plan account, an individual retirement account or a Coverdell education savings account (“Retirement Account”), Morgan Stanley is a “fiduciary” as those terms are defined under the Employee Retirement Income Security Act of 1974, as amended (“ERISA”), and/or the Internal Revenue Code of 1986 (the “Code”), as applicable. When Morgan Stanley provides investment education, takes orders on an unsolicited basis or otherwise does not provide “investment advice”, Morgan Stanley will not be considered a “fiduciary” under ERISA and/or the Code. For more information regarding Morgan Stanley’s role with respect to a Retirement Account, please visit www.morganstanley.com/disclosures/dol. Tax laws are complex and subject to change. Morgan Stanley does not provide tax or legal advice. Individuals are encouraged to consult their tax and legal advisors (a) before establishing a Retirement Account, and (b) regarding any potential tax, ERISA and related consequences of any investments or other transactions made with respect to a Retirement Account. Individuals should consult their tax advisor for matters involving taxation and tax planning and their attorney for matters involving trust and estate planning, charitable giving, philanthropic planning and other legal matters.
4When Morgan Stanley Smith Barney LLC, its affiliates and Morgan Stanley Financial Advisors and Private Wealth Advisors (collectively, “Morgan Stanley”) provide “investment advice” regarding a retirement or welfare benefit plan account, an individual retirement account or a Coverdell education savings account (“Retirement Account”), Morgan Stanley is a “fiduciary” as those terms are defined under the Employee Retirement Income Security Act of 1974, as amended (“ERISA”), and/or the Internal Revenue Code of 1986 (the “Code”), as applicable. When Morgan Stanley provides investment education, takes orders on an unsolicited basis or otherwise does not provide “investment advice”, Morgan Stanley will not be considered a “fiduciary” under ERISA and/or the Code. For more information regarding Morgan Stanley’s role with respect to a Retirement Account, please visit www.morganstanley.com/disclosures/dol. Tax laws are complex and subject to change. Morgan Stanley does not provide tax or legal advice. Individuals are encouraged to consult their tax and legal advisors (a) before establishing a Retirement Account, and (b) regarding any potential tax, ERISA and related consequences of any investments or other transactions made with respect to a Retirement Account. Individuals should consult their tax advisor for matters involving taxation and tax planning and their attorney for matters involving trust and estate planning, charitable giving, philanthropic planning and other legal matters.
5When Morgan Stanley Smith Barney LLC, its affiliates and Morgan Stanley Financial Advisors and Private Wealth Advisors (collectively, “Morgan Stanley”) provide “investment advice” regarding a retirement or welfare benefit plan account, an individual retirement account or a Coverdell education savings account (“Retirement Account”), Morgan Stanley is a “fiduciary” as those terms are defined under the Employee Retirement Income Security Act of 1974, as amended (“ERISA”), and/or the Internal Revenue Code of 1986 (the “Code”), as applicable. When Morgan Stanley provides investment education, takes orders on an unsolicited basis or otherwise does not provide “investment advice”, Morgan Stanley will not be considered a “fiduciary” under ERISA and/or the Code. For more information regarding Morgan Stanley’s role with respect to a Retirement Account, please visit www.morganstanley.com/disclosures/dol. Tax laws are complex and subject to change. Morgan Stanley does not provide tax or legal advice. Individuals are encouraged to consult their tax and legal advisors (a) before establishing a Retirement Account, and (b) regarding any potential tax, ERISA and related consequences of any investments or other transactions made with respect to a Retirement Account. Individuals should consult their tax advisor for matters involving taxation and tax planning and their attorney for matters involving trust and estate planning, charitable giving, philanthropic planning and other legal matters.
6Morgan 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.
7Morgan 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.
8Morgan 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.
9When Morgan Stanley Smith Barney LLC, its affiliates and Morgan Stanley Financial Advisors and Private Wealth Advisors (collectively, “Morgan Stanley”) provide “investment advice” regarding a retirement or welfare benefit plan account, an individual retirement account or a Coverdell education savings account (“Retirement Account”), Morgan Stanley is a “fiduciary” as those terms are defined under the Employee Retirement Income Security Act of 1974, as amended (“ERISA”), and/or the Internal Revenue Code of 1986 (the “Code”), as applicable. When Morgan Stanley provides investment education, takes orders on an unsolicited basis or otherwise does not provide “investment advice”, Morgan Stanley will not be considered a “fiduciary” under ERISA and/or the Code. For more information regarding Morgan Stanley’s role with respect to a Retirement Account, please visit www.morganstanley.com/disclosures/dol. Tax laws are complex and subject to change. Morgan Stanley does not provide tax or legal advice. Individuals are encouraged to consult their tax and legal advisors (a) before establishing a Retirement Account, and (b) regarding any potential tax, ERISA and related consequences of any investments or other transactions made with respect to a Retirement Account. Individuals should consult their tax advisor for matters involving taxation and tax planning and their attorney for matters involving trust and estate planning, charitable giving, philanthropic planning and other legal matters.
10Insurance products are offered in conjunction with Morgan Stanley Smith Barney LLC’s licensed insurance agency affiliates.
11Insurance products are offered in conjunction with Morgan Stanley Smith Barney LLC’s licensed insurance agency affiliates.
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.
13Morgan 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.
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 Center for Financial Planning, Inc. owns and licenses the certification marks CFP®, CERTIFIED FINANCIAL PLANNER®, and CFP® (with plaque design) in the United States to Certified Financial Planner Board of Standards, Inc., which authorizes individuals who successfully complete the organization's initial and ongoing certification requirements to use the certification marks.
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 | Morgan Stanley
For more information, please see the Morgan Stanley Smith Barney LLC Client Relationship Summary.
2Alternative 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.
3When Morgan Stanley Smith Barney LLC, its affiliates and Morgan Stanley Financial Advisors and Private Wealth Advisors (collectively, “Morgan Stanley”) provide “investment advice” regarding a retirement or welfare benefit plan account, an individual retirement account or a Coverdell education savings account (“Retirement Account”), Morgan Stanley is a “fiduciary” as those terms are defined under the Employee Retirement Income Security Act of 1974, as amended (“ERISA”), and/or the Internal Revenue Code of 1986 (the “Code”), as applicable. When Morgan Stanley provides investment education, takes orders on an unsolicited basis or otherwise does not provide “investment advice”, Morgan Stanley will not be considered a “fiduciary” under ERISA and/or the Code. For more information regarding Morgan Stanley’s role with respect to a Retirement Account, please visit www.morganstanley.com/disclosures/dol. Tax laws are complex and subject to change. Morgan Stanley does not provide tax or legal advice. Individuals are encouraged to consult their tax and legal advisors (a) before establishing a Retirement Account, and (b) regarding any potential tax, ERISA and related consequences of any investments or other transactions made with respect to a Retirement Account. Individuals should consult their tax advisor for matters involving taxation and tax planning and their attorney for matters involving trust and estate planning, charitable giving, philanthropic planning and other legal matters.
4When Morgan Stanley Smith Barney LLC, its affiliates and Morgan Stanley Financial Advisors and Private Wealth Advisors (collectively, “Morgan Stanley”) provide “investment advice” regarding a retirement or welfare benefit plan account, an individual retirement account or a Coverdell education savings account (“Retirement Account”), Morgan Stanley is a “fiduciary” as those terms are defined under the Employee Retirement Income Security Act of 1974, as amended (“ERISA”), and/or the Internal Revenue Code of 1986 (the “Code”), as applicable. When Morgan Stanley provides investment education, takes orders on an unsolicited basis or otherwise does not provide “investment advice”, Morgan Stanley will not be considered a “fiduciary” under ERISA and/or the Code. For more information regarding Morgan Stanley’s role with respect to a Retirement Account, please visit www.morganstanley.com/disclosures/dol. Tax laws are complex and subject to change. Morgan Stanley does not provide tax or legal advice. Individuals are encouraged to consult their tax and legal advisors (a) before establishing a Retirement Account, and (b) regarding any potential tax, ERISA and related consequences of any investments or other transactions made with respect to a Retirement Account. Individuals should consult their tax advisor for matters involving taxation and tax planning and their attorney for matters involving trust and estate planning, charitable giving, philanthropic planning and other legal matters.
5When Morgan Stanley Smith Barney LLC, its affiliates and Morgan Stanley Financial Advisors and Private Wealth Advisors (collectively, “Morgan Stanley”) provide “investment advice” regarding a retirement or welfare benefit plan account, an individual retirement account or a Coverdell education savings account (“Retirement Account”), Morgan Stanley is a “fiduciary” as those terms are defined under the Employee Retirement Income Security Act of 1974, as amended (“ERISA”), and/or the Internal Revenue Code of 1986 (the “Code”), as applicable. When Morgan Stanley provides investment education, takes orders on an unsolicited basis or otherwise does not provide “investment advice”, Morgan Stanley will not be considered a “fiduciary” under ERISA and/or the Code. For more information regarding Morgan Stanley’s role with respect to a Retirement Account, please visit www.morganstanley.com/disclosures/dol. Tax laws are complex and subject to change. Morgan Stanley does not provide tax or legal advice. Individuals are encouraged to consult their tax and legal advisors (a) before establishing a Retirement Account, and (b) regarding any potential tax, ERISA and related consequences of any investments or other transactions made with respect to a Retirement Account. Individuals should consult their tax advisor for matters involving taxation and tax planning and their attorney for matters involving trust and estate planning, charitable giving, philanthropic planning and other legal matters.
6Morgan 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.
7Morgan 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.
8Morgan 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.
9When Morgan Stanley Smith Barney LLC, its affiliates and Morgan Stanley Financial Advisors and Private Wealth Advisors (collectively, “Morgan Stanley”) provide “investment advice” regarding a retirement or welfare benefit plan account, an individual retirement account or a Coverdell education savings account (“Retirement Account”), Morgan Stanley is a “fiduciary” as those terms are defined under the Employee Retirement Income Security Act of 1974, as amended (“ERISA”), and/or the Internal Revenue Code of 1986 (the “Code”), as applicable. When Morgan Stanley provides investment education, takes orders on an unsolicited basis or otherwise does not provide “investment advice”, Morgan Stanley will not be considered a “fiduciary” under ERISA and/or the Code. For more information regarding Morgan Stanley’s role with respect to a Retirement Account, please visit www.morganstanley.com/disclosures/dol. Tax laws are complex and subject to change. Morgan Stanley does not provide tax or legal advice. Individuals are encouraged to consult their tax and legal advisors (a) before establishing a Retirement Account, and (b) regarding any potential tax, ERISA and related consequences of any investments or other transactions made with respect to a Retirement Account. Individuals should consult their tax advisor for matters involving taxation and tax planning and their attorney for matters involving trust and estate planning, charitable giving, philanthropic planning and other legal matters.
10Insurance products are offered in conjunction with Morgan Stanley Smith Barney LLC’s licensed insurance agency affiliates.
11Insurance products are offered in conjunction with Morgan Stanley Smith Barney LLC’s licensed insurance agency affiliates.
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.
13Morgan 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.
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.
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Awards Disclosures | Morgan Stanley
CRC 4665150 (8/2025)
