Joshua D. Malkin
Managing Director, Private Wealth Management, Private Wealth Advisor, Portfolio Management Director, Lending Specialist
Phone:
(212) 893-6530(212) 893-6530
Morgan Stanley Private Wealth Management
The Malkin Group
Direct:
(212) 893-6530(212) 893-6530
Our Mission Statement
Delivering the experience, resources and personalized service needed to help affluent families address their most complex wealth management issues.
Welcome
Welcome to The Malkin Group at Morgan Stanley Private Wealth Management. Our team services our clients in all facets of wealth management with a focus on investments (including equity, fixed income and alternatives), retirement planning and financial planning. Our primary goal is to alleviate the inherent financial stress of high net worth individuals by helping them identify their financial objectives and devising a comprehensive plan to achieve them. Click on “Meet The Professionals” above to learn more about our team members. We look forward to meeting you.
Named one of Barron's Top 250 Private Wealth Management Teams in 2024.
Source: Barrons.com (Awarded May 2024) Data compiled by Barron's for the period Jan 2023-Dec 2023.
Named one of Barron's Top 250 Private Wealth Management Teams in 2024.
Source: Barrons.com (Awarded May 2024) Data compiled by Barron's for the period Jan 2023-Dec 2023.
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 350 teams1 specialized in assisting individuals and families with $20MM+ in investable assets
- Over $980 billion in AUM1
- Comprising 23% of the Barron’s Top 250 Private Wealth Management Teams for 2024
- 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, December, 2024
Source: Barron's.com (May 2024) 2024 Barron's Top 250 Private Wealth Management Teams awarded in 2024. The teams are ranked on a variety of factors, including their size and shape, their regulatory records and credentials of their members, and the resources they have at their disposal to serve their client bases. The rankings are meant as a starting point for clients looking for an advisor—a first-pass vetting that can help investors narrow a search. Every advisor will have his or her own approach to investing, financial planning, and other services. Clients are encouraged to approach a search for an advisor the way they would a search for a doctor—interviewing multiple professionals and getting opinions from multiple third parties. Rankings are based on the opinions of Barron's and this ranking 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.
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.
Philosophy
Our clients are ultra-high net worth individuals, families and institutions with investment and financial planning needs. Many of our clients are senior management of public companies, financial firms and hedge funds as well as doctors, lawyers and entrepreneurs.
We devise customized portfolios based on each client’s particular risk tolerance and financial objectives, cognizant that every client has her own specific needs and concerns. Our asset management decisions are predicated on diversification through a combination of uncorrelated investments with traditional equity and fixed income strategies. Tax efficiency also is a critical objective, including that of minimizing income taxes as well as estate taxes. Our approach is comprehensive and includes all aspects of financial planning.
We devise customized portfolios based on each client’s particular risk tolerance and financial objectives, cognizant that every client has her own specific needs and concerns. Our asset management decisions are predicated on diversification through a combination of uncorrelated investments with traditional equity and fixed income strategies. Tax efficiency also is a critical objective, including that of minimizing income taxes as well as estate taxes. Our approach is comprehensive and includes all aspects of financial planning.
Joshua D. Malkin was named in Forbes America’s Top Wealth Advisors every year since 2016.
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) Data compiled by SHOOK Research LLC based on 12-month time period concluding in March of the year the award was issued.
Forbes America's Top Wealth Advisors DirectorySource: 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) Data compiled by SHOOK Research LLC based on 12-month time period concluding in March of the year the award was issued.
Joshua D. Malkin was named one of the "Top 400 Financial Advisors" in the US by The Financial Times every year since 2017.
Source: ft.com(Awarded 2017-2021) Data compiled by the Financial Times based on time periods.
Awarded 2021; data 6/30/20-6/30/21
Awarded 2020; data 6/30/19-6/30/20
Awarded 2019; data 9/30/18-9/30/19
Awarded 2018; data 9/30/17-9/30/18
Awarded 2017; data 9/30/16-9/30/17
Source: ft.com(Awarded 2017-2021) Data compiled by the Financial Times based on time periods.
Awarded 2021; data 6/30/20-6/30/21
Awarded 2020; data 6/30/19-6/30/20
Awarded 2019; data 9/30/18-9/30/19
Awarded 2018; data 9/30/17-9/30/18
Awarded 2017; data 9/30/16-9/30/17
Joshua D. Malkin was named one of the "Top 1200 Financial Advisors" in the US by Barron's every year since 2016.
Source:Barrons.com (Awarded 2016-2024) Data compiled by Barron's based concluding in Sept of the year prior to the issuance of the award.
Barron's Top 1200 Financial Advisors in the USSource:Barrons.com (Awarded 2016-2024) Data compiled by Barron's based concluding in Sept of the year prior to the issuance of the award.
The Malkin Group was named one of Barron's Top 250 Private Wealth Management Teams in 2024.
Source: Barrons.com (Awarded May 2024) Data compiled by Barron's for the period Jan 2023-Dec 2023.
Source: Barrons.com (Awarded May 2024) Data compiled by Barron's for the period Jan 2023-Dec 2023.
The Malkin Group was named one of Forbes Best-in-State Wealth Management Teams in 2023-2024.
Source: Forbes.com (Awarded 2023&2024 ). Data compiled by SHOOK Research LLC based on 12-month time period concluding in March of year prior to the issuance of the award.
Source: Forbes.com (Awarded 2023&2024 ). Data compiled by SHOOK Research LLC based on 12-month time period concluding in March of year prior to the issuance of the award.
Joshua D. Malkin was recognized as one of the top Morgan Stanley Financial Advisors as a Chairman’s Club Member every year since 2014.
Joshua D. Malkin was named one of the Top 40 Financial Advisors under Age 40 in the US by On Wall Street magazine in 2015 and 2016 (ranked #8 in the US).
Joshua D. Malkin was named one of the Top 40 Financial Advisors Under Age 40 by Registered Representative magazine in 2015.
Daniel Bello was recognized as a Pacesetter’s Club Member from 2015 - 2019.
Location
399 Park Ave
12th Fl
New York, NY 10022
US
Direct:
(212) 893-6530(212) 893-6530
Meet The Malkin Group
Daniel Bello
Senior Vice President, Private Wealth Advisor, Alternative Investments Director
Phone:
(212) 893-6305(212) 893-6305
Michael Kane, CFP®
Senior Vice President, Financial Advisor
Phone:
(212) 271-0638(212) 271-0638
William Allgeier
Vice President, Private Wealth Management, Financial Planning Specialist, Financial Advisor, CERTIFIED FINANCIAL PLANNER®, Chartered Financial Consultant
Phone:
(212) 893-6330(212) 893-6330
Nicholas Nappi
Vice President, Private Wealth Management Associate, CERTIFIED FINANCIAL PLANNER™
Phone:
(212) 893-6443(212) 893-6443
Joanne Aubry
Senior Client Service Associate
Phone:
(212) 893-6413(212) 893-6413
Alyssa D'Antona
Registered Client Service Associate
Phone:
(212) 893-7657(212) 893-7657
Nicolas Spinelli
Registered Client Service Associate
Phone:
(212) 893-7615(212) 893-7615
Evie Rearden
Client Service Associate
Phone:
(212) 893-6537(212) 893-6537
About Joshua D. Malkin
Throughout his time as a financial advisor, Josh has earned various distinctions, including being named every year since 2016 as (i) Forbes America’s Top 250 Wealth Advisors and (ii) Barron’s Top 1200 Financial Advisors in the US. He also has been recognized as one of the top Morgan Stanley Financial Advisors every year since 2014 as a Chairman’s Club Member.
Josh is the Chief Executive Officer of The Malkin Group, overseeing all investment and financial planning decisions for the team. His financial and legal experience, coupled with the training and knowledge of the other team members, helps guide and shape the recommendations tailored to each client’s personal financial objectives.
Josh received his Bachelor of Science degree at Cornell University and his J.D. degree at Duke University School of Law with magna cum laude and Order of the Coif distinctions. Upon graduating from law school, he worked as a corporate lawyer (currently non-practicing) at Davis Polk & Wardwell. He is Series 7, 31 and 66 registered and insurance licensed.
A strong advocate of giving back to the community, Josh participates with numerous foundations on philanthropic endeavors, along with coaching town travel and recreation sports teams. He enjoys playing basketball and golf, and, most importantly, spending time with his children. He currently resides in Old Tappan, NJ.
Josh is the Chief Executive Officer of The Malkin Group, overseeing all investment and financial planning decisions for the team. His financial and legal experience, coupled with the training and knowledge of the other team members, helps guide and shape the recommendations tailored to each client’s personal financial objectives.
Josh received his Bachelor of Science degree at Cornell University and his J.D. degree at Duke University School of Law with magna cum laude and Order of the Coif distinctions. Upon graduating from law school, he worked as a corporate lawyer (currently non-practicing) at Davis Polk & Wardwell. He is Series 7, 31 and 66 registered and insurance licensed.
A strong advocate of giving back to the community, Josh participates with numerous foundations on philanthropic endeavors, along with coaching town travel and recreation sports teams. He enjoys playing basketball and golf, and, most importantly, spending time with his children. He currently resides in Old Tappan, NJ.
Securities Agent: DC, VA, PA, PR, CT, TN, TX, SD, WA, WY, IL, IN, MA, IA, ME, MD, NC, NY, NJ, AZ, CA, CO, UT, RI, NV, MO, MI, KS, GA, FL, DE, OH; General Securities Representative; Investment Advisor Representative; Managed Futures
NMLS#: 1270076
NMLS#: 1270076
About Daniel Bello
After receiving his Bachelor of Science in Business Administration with concentrations in both Finance and Economics from the University of Richmond’s Robins School of Business, Dan joined Morgan Stanley in 2009 as a Consulting Group Analyst conducting manager due diligence and selecting both hedge funds and long-only investments for the team’s client portfolios. Since becoming an advisor in 2012, Dan was named to the Firm’s Pacesetter’s Club every year between 2015 and 2019, a global recognition program for Financial Advisors who, within their first five years, demonstrate the highest professional standards and first class client service.
Dan is the Chief Operating Officer of the Malkin Group and director of investment and economic research for the team. In addition, Dan leads the group’s alternative investment due diligence and selection process. He is Series 3, 7, 31, and 66 registered and licensed for life, accident, and health insurance.
Dan is very active in his business school's alumni community in an effort to give back to the school that had such a positive impact on his life. He is also an active supporter of Don Bosco Prep's Football Program, as well as the University of Richmond’s’ Athletic Department. Dan also has a passion for History. He can often be found reading a book on a president or great leader in our nation's history. Nothing, however, is more important to Dan than his family and friends with whom he enjoys spending most of his time. Dan currently resides in Manhattan, NY.
Dan is the Chief Operating Officer of the Malkin Group and director of investment and economic research for the team. In addition, Dan leads the group’s alternative investment due diligence and selection process. He is Series 3, 7, 31, and 66 registered and licensed for life, accident, and health insurance.
Dan is very active in his business school's alumni community in an effort to give back to the school that had such a positive impact on his life. He is also an active supporter of Don Bosco Prep's Football Program, as well as the University of Richmond’s’ Athletic Department. Dan also has a passion for History. He can often be found reading a book on a president or great leader in our nation's history. Nothing, however, is more important to Dan than his family and friends with whom he enjoys spending most of his time. Dan currently resides in Manhattan, NY.
Securities Agent: DC, CA, CO, CT, DE, FL, GA, IA, IL, IN, KS, MA, MD, MI, MO, NC, NJ, NV, NY, OH, PA, PR, RI, SD, TN, TX, UT, VA, WA, WY, AZ, ME; General Securities Representative; Investment Advisor Representative; Transactional Futures/Commodities; Managed Futures
NMLS#: 1270056
NMLS#: 1270056
About Michael Kane
Michael began working in the financial services industry in 2005, following a brief career in the non-profit sector where he fostered his desire to help people provide a better life for themselves.
As Director of Financial Planning for the team, Michael works closely with individuals and families to help them meet their financial goals by creating customized financial solutions that are designed to meet their specific needs. This includes investment planning, retirement planning, insurance planning, cash management and lending and working closely with CPAs and Estate Attorneys to administer tax efficient strategies.
Michael is Series 3, 7, 31, 66 registered, insurance licensed, and a CERTIFIED FINANCIAL PLANNER™. He graduated from The University of Scranton where he received his BA in Marketing and currently resides in Cranford, NJ with his wife Anna and their two daughters, Isabelle and Madison.
Disclaimer:
Morgan Stanley Smith Barney LLC offers insurance products in conjunction with its licensed insurance agency affiliates.
As Director of Financial Planning for the team, Michael works closely with individuals and families to help them meet their financial goals by creating customized financial solutions that are designed to meet their specific needs. This includes investment planning, retirement planning, insurance planning, cash management and lending and working closely with CPAs and Estate Attorneys to administer tax efficient strategies.
Michael is Series 3, 7, 31, 66 registered, insurance licensed, and a CERTIFIED FINANCIAL PLANNER™. He graduated from The University of Scranton where he received his BA in Marketing and currently resides in Cranford, NJ with his wife Anna and their two daughters, Isabelle and Madison.
Disclaimer:
Morgan Stanley Smith Barney LLC offers insurance products in conjunction with its licensed insurance agency affiliates.
Securities Agent: NC, NJ, NV, NY, OH, PA, PR, RI, SD, TN, TX, UT, VA, VT, WA, WY, ME, AZ, CA, CO, CT, DC, DE, FL, GA, IA, IL, IN, KS, MA, MD, MI, MO; General Securities Representative; Investment Advisor Representative; Transactional Futures/Commodities; Managed Futures
NMLS#: 1632020
NMLS#: 1632020
About William Allgeier
Before joining The Malkin Group in 2014, Bill was a Financial Advisor at AXA where he focused on financial planning and risk management. Bill’s experience at AXA helped him cultivate his holistic planning skills along with his passion for helping clients pursue their financial goals, which is a commitment he carries with him to the group at Morgan Stanley.
Bill is dedicated to fostering ongoing relationships with the team’s clients and is focused on helping them make the important decisions that are necessary throughout the financial planning process. This includes various aspects of financial planning such as investments, lending and insurance, as well as the planning regarding taxes, retirement, children’s education, and estate planning strategies.
Bill is Series 7, 63, 65 registered, insurance licensed, a CERTIFIED FINANCIAL PLANNER™ and a Chartered Financial Consultant® (ChFC®). He graduated from the State University of New York at Cortland with a Bachelor of Science in Economics.
As his belief is that you can never stop learning, Bill is often reading to better himself each day. He enjoys skiing and golf, along with spending time and with his family and friends. Originally from Bayport, New York, Bill currently resides in Stamford, Connecticut.
Disclaimer:
Morgan Stanley Smith Barney LLC offers insurance products in conjunction with its licensed insurance agency affiliates.
Bill is dedicated to fostering ongoing relationships with the team’s clients and is focused on helping them make the important decisions that are necessary throughout the financial planning process. This includes various aspects of financial planning such as investments, lending and insurance, as well as the planning regarding taxes, retirement, children’s education, and estate planning strategies.
Bill is Series 7, 63, 65 registered, insurance licensed, a CERTIFIED FINANCIAL PLANNER™ and a Chartered Financial Consultant® (ChFC®). He graduated from the State University of New York at Cortland with a Bachelor of Science in Economics.
As his belief is that you can never stop learning, Bill is often reading to better himself each day. He enjoys skiing and golf, along with spending time and with his family and friends. Originally from Bayport, New York, Bill currently resides in Stamford, Connecticut.
Disclaimer:
Morgan Stanley Smith Barney LLC offers insurance products in conjunction with its licensed insurance agency affiliates.
Securities Agent: IA, TX, VA, NV, OH, VT, MI, IN, ME, MA, AZ, NY, NJ, CO, UT, WA, GA, SD, MO, WY, PR, PA, MD, RI, TN, DC, KS, CT, CA, NC, FL, IL, DE; General Securities Representative; Investment Advisor Representative
NMLS#: 2461952
NMLS#: 2461952
About Nicholas Nappi
Nicholas began working for Morgan Stanley in 2016 during his sophomore year of college as a Wealth Management Intern. Through his internship and part time work experience with the firm, Nicholas was able to greatly expand his acumen into the financial markets, while also developing advanced skills in research and analysis.
Nicholas joined The Malkin Group at Morgan Stanley in 2018 and plays an integral role in financial planning, relationship management, performance reporting and generating client proposals. He also oversees all of the team’s trading and portfolio analytics, along with conducting equity, fixed income and alternative investment due diligence for the team’s investment strategies.
Nicholas is Series 7 and 66 registered, insurance licensed and a CERTIFIED FINANCIAL PLANNER™*. He graduated summa cum laude from the Frank G. Zarb School of Business at Hofstra University with a Bachelor of Business Administration in Finance.
Nicholas' passions outside of work include cooking, traveling, snowboarding, training Brazilian Jiu-Jitsu, watching the NY Mets and spending quality time with his family and friends. He is also a car enthusiast and an active member of his parish, St. Vincent Ferrer & St. Catherine of Siena, along with being a member of the Confraternity of the Most Holy Rosary.
Nicholas married his high school sweetheart, Marissa, in November 2022 on Long Island, NY. He is a native of Massapequa, NY.
Nicholas joined The Malkin Group at Morgan Stanley in 2018 and plays an integral role in financial planning, relationship management, performance reporting and generating client proposals. He also oversees all of the team’s trading and portfolio analytics, along with conducting equity, fixed income and alternative investment due diligence for the team’s investment strategies.
Nicholas is Series 7 and 66 registered, insurance licensed and a CERTIFIED FINANCIAL PLANNER™*. He graduated summa cum laude from the Frank G. Zarb School of Business at Hofstra University with a Bachelor of Business Administration in Finance.
Nicholas' passions outside of work include cooking, traveling, snowboarding, training Brazilian Jiu-Jitsu, watching the NY Mets and spending quality time with his family and friends. He is also a car enthusiast and an active member of his parish, St. Vincent Ferrer & St. Catherine of Siena, along with being a member of the Confraternity of the Most Holy Rosary.
Nicholas married his high school sweetheart, Marissa, in November 2022 on Long Island, NY. He is a native of Massapequa, NY.
About Joanne Aubry
Joanne began working for Morgan Stanley in 2005 where she gained extensive experience in account operations, banking and client relations. Joanne joined The Malkin Group in 2009 as a Senior Client Service Associate. Joanne focuses on satisfying the day-to-day operational needs of clients, effectively utilizing her knowledge of, and experience with, policies and procedures. Prior to working at Morgan Stanley, Joanne spent 5 years at Charles Schwab. A graduate of Brooklyn College with a degree in Psychology, Joanne is fluent in French and conversant in Spanish.
In her spare time, Joanne enjoys traveling, outdoor activities and above all, spending precious moments with her family and friends. Joanne currently resides in Brooklyn, NY with her family.
In her spare time, Joanne enjoys traveling, outdoor activities and above all, spending precious moments with her family and friends. Joanne currently resides in Brooklyn, NY with her family.
About Alyssa D'Antona
Alyssa joined the Malkin Group in June 2022 as a Client Service Associate after graduating cum laude from Villanova University in May of 2022. Alyssa majored in Economics with minors in both Communications and the Italian Language. Alyssa is currently Series 7 and 66 registered and is excited to utilize both her knowledge and communication skills to provide an exceptional experience for our clients.
Outside of work, Alyssa enjoys exercising, reading, traveling, and spending time with her family and friends. Alyssa currently resides in Manhattan, NY.
Outside of work, Alyssa enjoys exercising, reading, traveling, and spending time with her family and friends. Alyssa currently resides in Manhattan, NY.
About Nicolas Spinelli
After graduating from Penn State University with a major in Economics and a minor in Forestry, Nick got his start in the financial services industry at Lazard Asset Management. Nick then transitioned to The Malkin Group at Morgan Stanley to pursue a dedicated and personal approach to wealth management. Nick is Series 7 and 66 registered and hopes to help the group in its continual growth moving forward.
Originally from Rochester, New York, Nick enjoys spending time in the outdoors with his family, exercising his mind and body, as well as the pursuit of new hobbies.
Originally from Rochester, New York, Nick enjoys spending time in the outdoors with his family, exercising his mind and body, as well as the pursuit of new hobbies.
About Evie Rearden
Evie Rearden joined the Malkin Group at Morgan Stanley in 2024 as a Client Service Associate. Prior to joining, Evie graduated from the University of North Carolina at Chapel Hill in May 2023 with a double-major in political science and public relations. Evie began her career at AlphaSights on the private equity service team in New York and is excited to bring a white-glove and personalized approach to all clients within our group.
Originally from Atlanta, Georgia, Evie enjoys spending time with friends and family, traveling and exploring new restaurants around New York City.
Originally from Atlanta, Georgia, Evie enjoys spending time with friends and family, traveling and exploring new restaurants around New York City.
Contact Joshua D. Malkin
Contact Daniel Bello
Contact Michael Kane
Contact William Allgeier
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Private Wealth Management Podcast
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- Intergenerational Planning
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LISTEN | Passion Assets: Investing in Art
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Managing Significant Wealth
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Funding Climate Action: Pathways for Philanthropy
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Thought Leadership for our ultra high net worth clients, which contains thought-provoking articles, authored by leading experts from Morgan Stanley Family Office Resources.
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, 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.
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.
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 Inc. owns the certification marks CFP®, CERTIFIED FINANCIAL PLANNER™ and CFP® (with flame logo)® in the U.S., which it awards to individuals who successfully complete CFP® Board's initial and ongoing certification requirements.
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
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.
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 Inc. owns the certification marks CFP®, CERTIFIED FINANCIAL PLANNER™ and CFP® (with flame logo)® in the U.S., which it awards to individuals who successfully complete CFP® Board's initial and ongoing certification requirements.
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
CRC 4237142 (02/2025)
