Rachel Gottlieb, CFP®, CDFA®, NFLPA
Managing Director, Private Wealth Management, Private Wealth Advisor, Global Sports and Entertainment Director, Portfolio Management Director
Phone:
(212) 503-2317(212) 503-2317
Morgan Stanley Private Wealth Management
The Gottlieb Rose Group
Direct:
(212) 503-2315(212) 503-2315
Our Mission Statement
Thoughtful advice. Real-world experience.
Welcome!
At the Gottlieb Rose Group, we recognize that your wealth is about more than finances; it is about your commitment to those you love, the ideals you stand for and the legacy you want to leave for the next generation and beyond. We want to be the team you turn to for insight on any issue that touches your financial life—and exceed your expectations with the level of dedication and attention we provide you.
As a boutique Private Wealth Management team, with over $1.6 billion assets under management, our priority is doing the best we can for our clients every day. With over 75 years of collective experience, you can expect thoughtful advice and real-world experience serving a diverse and exclusive group of clients.
Check the background of Our Firm and Investment Professionals on FINRA's BrokerCheck.*
About PWM
Founded in 1977, Private Wealth Management is the division of Morgan Stanley Wealth Management that is dedicated to serving the firm’s most affluent clients, including some of the world’s most accomplished entrepreneurs, executives and stewards of multigenerational wealth. Functioning as an exclusive investment boutique within a global financial firm, we deliver sophisticated solutions that leverage the intellectual capital and insight of Morgan Stanley’s substantial global resources. Drawing on a deep understanding of your financial life, our goal is to help you:
- Manage investments with an unwavering focus on your financial strategy and personal goals
- Create comprehensive, multigenerational wealth management plans based on your needs, challenges and the values that guide your life and legacy
- Simplify financial complexity to help you achieve clarity and control
Private Wealth Management Highlights
- Approximately 300 teams specialized in assisting individuals and families with $20MM+ in investable assets
- Over $1.2 trillion in AUM
- Comprising 26% of the Barron’s Top 100 Financial Advisors list for 2025
- Direct access to ultra high net worth experts in philanthropy, family dynamics, wealth transfer, lifestyle advisory and other areas of interest to ultra high net worth families
1 Morgan Stanley Wealth Management, September 2025
Source: Barron's (Awarded March 2025) This ranking was determined based on an evaluation process conducted by Barron's for the period Oct 2023-Sept 2024. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This ranking is based on an algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. Rankings are based on the assessment of Barron's and may not be representative of any one client’s experience. This ranking is not indicative of the Financial Advisor’s future performance. Morgan Stanley Smith Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark of Dow Jones & Company, L.P. All rights reserved.
Awards & Recognition
The Gottlieb Rose Group has been awarded the following industry awards & recognitions.
Forbes Best-in-State Wealth Management Teams (2024, 2025) – The Gottlieb Rose Group
Source: Forbes.com (Jan 2024) 2024 Forbes Best-In-State Wealth Management Teams ranking awarded in 2024. This ranking was determined based on an evaluation process conducted by SHOOK Research LLC (the research company) in partnership with Forbes (the publisher) for the period from 3/31/22–3/31/23.
- Forbes America's Top Women Wealth Advisors & Top Women Wealth Advisors Best-In-State (2017, 2018, 2019, 2020, 2021, 2022, 2023, 2024, 2025)
- Forbes Top Women Wealth Advisors Best-In-State (2022, 2023, 2024, 2025)
- Forbes Best-in-State Wealth Advisors (2018, 2019, 2020, 2021, 2022, 2023, 2024)
- Working Mother Magazine & SHOOK Research's Top Wealth Advisor Moms (2017, 2018, 2019, 2020, 2021)
- Forbes America's Top Next-Gen Wealth Advisors & Top Next-Gen Wealth Advisors Best-in-State (2017, 2018, 2019)
- Forbes Top Next-Gen Wealth Advisors & Top Next-Gen Wealth Advisors Best-in-State (2018, 2019)
- Forbes Best-in-State Wealth Advisors (2018, 2019, 2020, 2021, 2022, 2023, 2024)
Rachel E. Gottlieb, CFP®, CDFA®
2017-2025 Forbes America's Top Women Wealth Advisors & Forbes Top Women Wealth Advisors Best-In- State Source: Forbes.com (Awarded 2017-2025). Data compiled by SHOOK Research LLC based on 12-month time period concluding in Sept of year prior to the issuance of the award.
2022-2025 Forbes Top Women Wealth Advisors Best-In- State Source: Forbes.com (Awarded 2022-2025). Data provided by SHOOK® Research, LLC — Data as of 9/30/24.
Source: Forbes.com (April 2024) 2024 Forbes America's Top Wealth Advisors and Best-In- State Wealth Advisors rankings awarded in 2024. This ranking was determined based on an evaluation process conducted by SHOOK Research LLC (the research company) in partnership with Forbes (the publisher) for the period from 6/30/22-6/30/23.
Source: Workingmother.com (October 2021) 2021 Working Mother Magazine & SHOOK Research's Top Wealth Advisor Moms ranking awarded in 2021. This ranking was determined based on an evaluation process conducted by SHOOK Research LLC (the research company) in partnership with Working Mother Magazine (the publisher) during the period from 3/31/20 - 3/31/21.
Source: Forbes.com (Awarded date). This ranking was determined based on an evaluation process conducted by SHOOK Research LLC (the research company) in partnership with Forbes (the publisher) for the period 3/31/24-3/31/25.
Source: Forbes.com (Awarded date). This ranking was determined based on an evaluation process conducted by SHOOK Research LLC (the research company) in partnership with Forbes (the publisher) for the period 3/31/24-3/31/25.
William J. Rose
Source: Forbes.com (April 2024) 2024 Forbes America's Top Wealth Advisors and Best-In- State Wealth Advisors rankings awarded in 2024. This ranking was determined based on an evaluation process conducted by SHOOK Research LLC (the research company) in partnership with Forbes (the publisher) for the period from 6/30/22-6/30/23.
Who we serve
We are privileged to work with a broad range of clients. We take pride in building long-term relationships with our clients, as well as maintaining an exceptional level of professionalism.
Multigenerational Families
Our team works with you to learn about your individual needs, and work towards your goals. We help your loved ones with wealth transfer and estate planning to help the next generation for financial independence.
Entrepreneurs and Business Owners
We provide specialized guidance on the financial aspects of running a successful business on both sides of the balance sheet, including tax planning, employee benefits, succession planning, and more. We have also worked closely with business owners on selling businesses, and we understand the process can be sensitive and personal. We will work with you every step of the way.
Professional Athletes and Entertainers
We offer specialized capabilities and global resources to help athletes, artists and entertainment professionals achieve their investment goals. We can help you plan for the future and work towards your financial goals while you achieve your professional goals.
Exclusive Offers
Reserved Living & Giving is a complimentary perks program for eligible Morgan Stanley clients. As a Reserved Living & Giving member, clients will have access to exclusive partner offers and discounts, as well as thought leadership content on a variety of lifestyle and personal finance topics.
Location
55 East 52nd Street
29th Floor
New York, NY 10055
US
Direct:
(212) 503-2315(212) 503-2315
Meet The Gottlieb Rose Group
William Rose, NFLPA
Managing Director, Private Wealth Management, Private Wealth Advisor, Global Sports and Entertainment Director, Founders Specialist
Phone:
(212) 503-2319(212) 503-2319
Kayla Gager
Vice President, Director of Investments
Phone:
(212) 503-2344(212) 503-2344
Kasten Carter
Assistant Vice President, Director of Business Strategy
Phone:
(212) 503-2362(212) 503-2362
Julia Sims
Assistant Vice President, Business Development Associate
Phone:
(212) 503-2358(212) 503-2358
Mary Zwaan
Registered Client Service Associate
Phone:
(212) 503-2392(212) 503-2392
Lindsey Hunter
Executive Assistant
Phone:
(212) 503-1049(212) 503-1049
About Me
An industry veteran since 2002, Rachel is one of two senior advisors of the Gottlieb Rose Group and a Managing Director. She is a CERTIFIED FINANCIAL PLANNER®™ (CFP®) and a Certified Divorce Financial Analyst®™ (CDFA®™). Over the course of her career, Rachel has worked with Grammy award-winning artists, entertainers and professional athletes. As an NFLPA Institutional Registered Financial Advisor, Rachel works in partnership with Morgan Stanley and its Global Sports & Entertainment team to provide holistic financial advice and guidance to help clients build financial futures and create a lasting legacy. With her Certified Divorce Financial Analyst®™ (CDFA®™) designation, Rachel also works closely with clients to make well-informed financial decisions pre- and post-divorce. Her professional licenses include the Series 7, 31, and 66, as well as the Life, Accident and Health Insurance license and Variable Annuities. Her bachelor’s degree is in Finance & Marketing from Lehigh University in Pennsylvania.
Rachel dedicates her time to give back to the community. She is a volunteer for Savvy Ladies, a financial advice hotline for women.
Outside of work, Rachel loves cooking, running, and spending time with her husband, Josh and their two children, Zac and Lexi. Rachel and her family live in Scarsdale, NY and she enjoys spending time in the summer at the beach in the Hamptons.
Rachel dedicates her time to give back to the community. She is a volunteer for Savvy Ladies, a financial advice hotline for women.
Outside of work, Rachel loves cooking, running, and spending time with her husband, Josh and their two children, Zac and Lexi. Rachel and her family live in Scarsdale, NY and she enjoys spending time in the summer at the beach in the Hamptons.
Securities Agent: AZ, CA, CO, CT, FL, GA, HI, ID, IL, ME, MD, MA, MI, NV, NJ, NY, NC, OH, OK, OR, PA, SC, TN, TX, UT, VA, WA; General Securities Representative; Investment Advisor Representative; Managed Futures
About Me
An industry veteran since 1999, William is one of two senior advisors of the Gottlieb Rose Group and a Managing Director. Over the past 20 + years, William has worked with Grammy award-winning artists, entertainers and professional athletes. As an NFLPA Institutional Registered Financial Advisor, William works in partnership with the Morgan Stanley and its Global Sports & Entertainment team to provide holistic financial advice and guidance to help clients build financial futures and create a lasting legacy. William’s professional licenses include the Series 7 and 66, as well as licenses for Life, Accident and Health Insurance and Variable Annuities. His bachelor's degree is in Psychology and Sociology from the University of Massachusetts at Amherst.
William is very active in the community, having held various positions at New York Chapter of the Crohns and Colitis Foundation, including President, Vice President, and currently Treasurer. In 2018, William was honored at the annual Crohn's and Colitis Foundation Gala as the "Man of the Year." Will is also actively involved in the local chapters of UJA and Chabad.
Outside of the office, William enjoys spending quality time with his family. He can often be found cheering on his sons, Jagger and Bodie, at their sports events. An avid fitness enthusiast, he enjoys running, working out and skiing whenever he gets the chance. He resides in Woodcliff Lake, NJ with his wife Devyn, sons, and dog Nova. William treasures moments spent enjoying Montauk sunsets with family & friends.
William is very active in the community, having held various positions at New York Chapter of the Crohns and Colitis Foundation, including President, Vice President, and currently Treasurer. In 2018, William was honored at the annual Crohn's and Colitis Foundation Gala as the "Man of the Year." Will is also actively involved in the local chapters of UJA and Chabad.
Outside of the office, William enjoys spending quality time with his family. He can often be found cheering on his sons, Jagger and Bodie, at their sports events. An avid fitness enthusiast, he enjoys running, working out and skiing whenever he gets the chance. He resides in Woodcliff Lake, NJ with his wife Devyn, sons, and dog Nova. William treasures moments spent enjoying Montauk sunsets with family & friends.
Securities Agent: AZ, CA, CO, CT, FL, GA, HI, ID, IL, ME, MD, MA, MI, NV, NJ, NY, NC, OH, OK, OR, PA, SC, TN, TX, UT, VA, WA; General Securities Representative; Investment Advisor Representative
About Kayla Gager
Kayla joined Gottlieb Rose Group in 2017, and brings over 14 years of experience to her role on the team. As Director of Investments, she works with multi-generational families and individuals to create customized financial plans to help grow and preserve their wealth.
Kayla focuses on analyzing all aspects of the portfolio. She prepares tailored investment solutions and wealth planning strategies based on clients' specific financial goals and objectives.
She graduated from Syracuse University with a B.A. in Finance. Her licenses include the Series 7, 63 and 65. Kayla lives in Brooklyn with her husband and enjoys seeing live music, hiking, and traveling.
Kayla focuses on analyzing all aspects of the portfolio. She prepares tailored investment solutions and wealth planning strategies based on clients' specific financial goals and objectives.
She graduated from Syracuse University with a B.A. in Finance. Her licenses include the Series 7, 63 and 65. Kayla lives in Brooklyn with her husband and enjoys seeing live music, hiking, and traveling.
About Kasten Carter
As the Director of Business Strategy in our group, Kasten words hand in hand with clients to onboard complex relationships and implement investment strategies.
Kasten focuses on relationship management, trading, advisory account maintenance, and alternative investment placements. Kasten’s in-depth knowledge of account and investment maintenance help deliver tailored wealth management solutions.
Kasten graduated from SUNY Albany with a B.A. in Finance & Management. He holds Series 7 and Series 66 licenses.
Kasten and his wife live in East Moriches, NY with their dog, Mika. Kasten enjoys golfing, boating, and heading to the beach with friends and family.
Kasten focuses on relationship management, trading, advisory account maintenance, and alternative investment placements. Kasten’s in-depth knowledge of account and investment maintenance help deliver tailored wealth management solutions.
Kasten graduated from SUNY Albany with a B.A. in Finance & Management. He holds Series 7 and Series 66 licenses.
Kasten and his wife live in East Moriches, NY with their dog, Mika. Kasten enjoys golfing, boating, and heading to the beach with friends and family.
About Julia Sims
Prior to joining the Gottlieb Rose Group in 2024, Julia worked at UBS as an Advisory Investment Specialist for four years. In her prior role, she assisted Financial Advisors with portfolio construction, asset allocation and manager selection. She began her career in 2018 at Deutsche Bank working as an Investment Analyst in their Wealth Management division.
As a Business Development Associate, Julia focuses on the growth of the business including new client opportunities, content and marketing, and strategic event planning.
She graduated Cum Laude from Miami University with a B.A. in Finance. Her professional licenses include the Series 7 and 66 designations.
She lives in New York City with her husband and enjoys skiing, traveling and is involved with Big Brothers Big Sisters of New York and CURE Epilepsy.
Disclosure: Asset Allocation does not assure a profit or protect against loss in declining financial markets.
As a Business Development Associate, Julia focuses on the growth of the business including new client opportunities, content and marketing, and strategic event planning.
She graduated Cum Laude from Miami University with a B.A. in Finance. Her professional licenses include the Series 7 and 66 designations.
She lives in New York City with her husband and enjoys skiing, traveling and is involved with Big Brothers Big Sisters of New York and CURE Epilepsy.
Disclosure: Asset Allocation does not assure a profit or protect against loss in declining financial markets.
About Mary Zwaan
Prior to Morgan Stanley, Mary joined UBS Financial Services as a Registered Client Service Associate in 2022. Before joining UBS, Mary was a Client Relationship Associate at Vanguard. She graduated with a B.A. in Environmental Studies and Urban Studies from the University of Pittsburgh. She now resides in New York City and enjoys traveling, baking, and spending time with family and friends.
Mary's professional licenses include the Series 7, Series 66, and Series 63 as well as the Life, Accident, & Health Insurance license.
Mary's professional licenses include the Series 7, Series 66, and Series 63 as well as the Life, Accident, & Health Insurance license.
About Lindsey Hunter
Lindsey joins our team with five years of experience working as an Executive Assistant and Administrative Coordinator.
Lindsey will focus her efforts on supporting our team’s daily operations as well as ensuring the team's internal and external communications run smoothly. In addition to operational support, Lindsey focuses on fostering a welcoming, collaborative environment and driving efficiency across the team.
Lindsey was born and raised in New Jersey and currently lives in Hoboken. Outside of work, she enjoys running, skiing, and traveling while also spending time at the beach with friends and family.
Lindsey will focus her efforts on supporting our team’s daily operations as well as ensuring the team's internal and external communications run smoothly. In addition to operational support, Lindsey focuses on fostering a welcoming, collaborative environment and driving efficiency across the team.
Lindsey was born and raised in New Jersey and currently lives in Hoboken. Outside of work, she enjoys running, skiing, and traveling while also spending time at the beach with friends and family.
Contact Rachel Gottlieb
Contact William Rose
Wealth Management
Global Investment Office
Portfolio Insights
This is a video content
Managing Significant Wealth
- Investment Management
- Wealth Transfer & Philanthropy
- Cash Management & Lending
- Family Governance & Wealth Education
- Lifestyle Advisory
- Business Services
PWM Leadership Insights & Outcomes
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Insights and Outcomes
Thought Leadership for our ultra high net worth clients, which contains thought-provoking articles, authored by leading experts from Morgan Stanley Family Office Resources.
Wealth Management for Athletes and Entertainers
Understanding the unique financial challenges of athletes and entertainers and how they differ from one profession to the next, we deliver the experience and resources you need to help create and implement a comprehensive, multigenerational wealth management plan based on your needs, values and aspirations.
- Investment Management
- Wealth Transfer & Philanthropy
- Private Banking Solutions
- Family Governance & Wealth Education
- Lifestyle Advisory
Private Wealth Management Podcast
Bringing you engaging stories and key insights surrounding the complexities associated with significant wealth, including:
- Intergenerational Planning
- Philanthropic Giving
- Non-Traditional Assets
- Managing Family Wealth
We look forward to discussing your needs and goals, and the exceptional resources we can place at your disposal.
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.
1Morgan 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
2Morgan Stanley Smith Barney LLC and its affiliates and their employees (including Financial Advisors and Private Wealth Advisors) are not in the business of providing tax or legal advice. These materials and any statements contained herein should not be construed as tax or legal advice. Individuals should consult their personal tax advisor or attorney for matters involving taxation and tax planning and their attorney for matters involving personal trusts and estate planning.
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.
Morgan Stanley Smith Barney LLC does not accept appointments nor will it act as a trustee but it will provide access to trust services through an appropriate third-party corporate trustee.
Asset Allocation does not assure a profit or protect against loss in declining financial markets.
The securities/instruments, investments and investment strategies discussed on this website may not be suitable for all investors. The appropriateness of a particular investment or investment strategy will depend on an investor's individual circumstances and objectives. The views and opinions expressed on this website may not necessarily reflect those of Morgan Stanley Smith Barney LLC (“Morgan Stanley”). This website and its associated content are intended for U.S. residents only.
Morgan Stanley and its Private Wealth Advisors do not provide tax or legal advice. Visitors to this website should consult their tax advisor for matters involving taxation and tax planning and their attorney for matters involving trust and estate planning and other legal matters.
Morgan Stanley Private Wealth Advisers may only transact business in states where they are registered or excluded or exempted from registration. Transacting business, follow-up and individualized responses involving either effecting or attempting to effect transactions in securities, or the rendering of personalized investment advice for compensation, will not be made to persons in states where Morgan Stanley Private Wealth Advisers are not registered or excluded or exempt from registration.
For more information, please see the Morgan Stanley Smith Barney LLC Client Relationship Summary.
See the Financial Advisors Biographies for Registration and Licensing information.
Certified Financial Planner Board of Standards 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.
Investment Management Consultants Association, Inc. owns the marks CIMA®, Certified Investment Management Analyst® (with graph element)®, and Certified Investment Management Analyst® .
Morgan Stanley Smith Barney LLC offers insurance products in conjunction with its licensed insurance agency affiliates.
Life insurance, disability income insurance, and long-term care insurance are offered through Morgan Stanley Smith Barney LLC's licensed insurance agency affiliates.
Lifestyle Advisory Services: Products and services are provided by third party service providers, not Morgan Stanley Smith Barney LLC (“Morgan Stanley”). Morgan Stanley may not receive a referral fee or have any input concerning such products or services. There may be additional service providers for comparative purposes. Please perform a thorough due diligence and make your own independent decision.
Private Bankers are employees of Morgan Stanley Private Bank, National Association.
Morgan Stanley Smith Barney LLC is a registered Broker/Dealer, Member SIPC, and not a bank. Where appropriate, Morgan Stanley Smith Barney LLC has entered into arrangements with banks and other third parties to assist in offering certain banking related products and services.
Investment, insurance and annuity products offered through Morgan Stanley Smith Barney LLC are: NOT FDIC INSURED | MAY LOSE VALUE | NOT BANK GUARANTEED | NOT A BANK DEPOSIT | NOT INSURED BY ANY FEDERAL GOVERNMENT AGENCY
Awards Disclosures | Morgan Stanley
1Morgan 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
2Morgan Stanley Smith Barney LLC and its affiliates and their employees (including Financial Advisors and Private Wealth Advisors) are not in the business of providing tax or legal advice. These materials and any statements contained herein should not be construed as tax or legal advice. Individuals should consult their personal tax advisor or attorney for matters involving taxation and tax planning and their attorney for matters involving personal trusts and estate planning.
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.
Morgan Stanley Smith Barney LLC does not accept appointments nor will it act as a trustee but it will provide access to trust services through an appropriate third-party corporate trustee.
Asset Allocation does not assure a profit or protect against loss in declining financial markets.
The securities/instruments, investments and investment strategies discussed on this website may not be suitable for all investors. The appropriateness of a particular investment or investment strategy will depend on an investor's individual circumstances and objectives. The views and opinions expressed on this website may not necessarily reflect those of Morgan Stanley Smith Barney LLC (“Morgan Stanley”). This website and its associated content are intended for U.S. residents only.
Morgan Stanley and its Private Wealth Advisors do not provide tax or legal advice. Visitors to this website should consult their tax advisor for matters involving taxation and tax planning and their attorney for matters involving trust and estate planning and other legal matters.
Morgan Stanley Private Wealth Advisers may only transact business in states where they are registered or excluded or exempted from registration. Transacting business, follow-up and individualized responses involving either effecting or attempting to effect transactions in securities, or the rendering of personalized investment advice for compensation, will not be made to persons in states where Morgan Stanley Private Wealth Advisers are not registered or excluded or exempt from registration.
For more information, please see the Morgan Stanley Smith Barney LLC Client Relationship Summary.
See the Financial Advisors Biographies for Registration and Licensing information.
Certified Financial Planner Board of Standards 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.
Investment Management Consultants Association, Inc. owns the marks CIMA®, Certified Investment Management Analyst® (with graph element)®, and Certified Investment Management Analyst® .
Morgan Stanley Smith Barney LLC offers insurance products in conjunction with its licensed insurance agency affiliates.
Life insurance, disability income insurance, and long-term care insurance are offered through Morgan Stanley Smith Barney LLC's licensed insurance agency affiliates.
Lifestyle Advisory Services: Products and services are provided by third party service providers, not Morgan Stanley Smith Barney LLC (“Morgan Stanley”). Morgan Stanley may not receive a referral fee or have any input concerning such products or services. There may be additional service providers for comparative purposes. Please perform a thorough due diligence and make your own independent decision.
Private Bankers are employees of Morgan Stanley Private Bank, National Association.
Morgan Stanley Smith Barney LLC is a registered Broker/Dealer, Member SIPC, and not a bank. Where appropriate, Morgan Stanley Smith Barney LLC has entered into arrangements with banks and other third parties to assist in offering certain banking related products and services.
Investment, insurance and annuity products offered through Morgan Stanley Smith Barney LLC are: NOT FDIC INSURED | MAY LOSE VALUE | NOT BANK GUARANTEED | NOT A BANK DEPOSIT | NOT INSURED BY ANY FEDERAL GOVERNMENT AGENCY
Awards Disclosures | Morgan Stanley
CRC 4677197 (7/2025)
