Mark Mantooth
Financial Advisor, Managing Director
Phone:
(256) 690-5456(256) 690-5456
The Mantooth Pols Keene Group at Morgan Stanley
Our Mission Statement
Experience, intellectual capital and dedicated personal service to help you meet your life goals
Our Story and Services
As your Financial Advisors, we can help you define and strive to meet your goals by delivering a vast array of resources to you in the way that is most appropriate for how you invest and what you want to achieve. Working together we can help you to preserve and grow your wealth. You’ll have access to some of the world’s most seasoned and respected investment professionals, a premier trading and execution platform and a full spectrum of investment choices.
Check the background of Our Firm and Investment Professionals on FINRA's BrokerCheck.*
Dive into our Financial Planning Process
Here at the Mantooth and Pols Group, we pride ourselves on being dedicated to achieving our clients goals. That first starts with a financial plan. Read below on how we formulate this process.
Step 1: Discovery Process
We take the time to fully understand you and your family - whether you're planning for retirement, purchasing a new home or living out your golden years - we consider all of your challenges, goals and aspirations when building your financial picture.
Step 2: Forming Your Strategy
Using your goals as a compass, we create a plan that is tailored to your financial needs.
Step 3: Implementing Your Plan
We apply extensive research and analysis while utilizing Morgan Stanley's Digital resources to ensure swift action in all market scenarios.
Step 4: Measuring Your Success
We monitor your plan and track in real time to make adjustments according to your needs, life events and changing market conditions.
2025 Tax Tables
We hope you find this information useful for making decisions during this year's tax season.
Our Suite of Digital Tools
Morgan Stanley's suite of Modern Wealth Management Tools allows advisors to offer customized and comprehensive advice. These tools' ease of use allows for a more in-depth view of a client's financial life to be taken, resulting in enhanced service and more well-rounded advice.
Morgan Stanley Online
Morgan Stanley Online (MSO) has a variety of features beyond viewing your account balance and activity that you should take advantage of.
Sign Up For MSO
Total Wealth View
It’s hard to see the complete picture with only half the details. As a Morgan Stanley client, you can now conveniently view your accounts from other financial institutions on Morgan Stanley
Online or by using the Morgan Stanley Mobile App, giving you a more complete financial picture.
Learn More About Total Wealth ViewOnline or by using the Morgan Stanley Mobile App, giving you a more complete financial picture.
Goals Planning System
Our Goals Planning System (GPS) is an innovative platform built on Morgan Stanley's intellectual capital and capabilities, to provide our clients with comprehensive investing and planning solutions for their individual goals.
Learn more About GPS
E-Delivery
Morgan Stanley Online has a variety of features that can enhance your digital experience and provide a deeper level of security. One of those tools, E-Delivery, allows you to securely save, print, send, and receive documents at any time from both Morgan Stanley Online and the Morgan Stanley Mobile App.
Learn More About E-DeliveryVALUABLE RESOURCES:
Our comprehensive suite of digital resources are designed to help enhance every aspect of your financial life. These resources are meant to transform complex financial analysis and research into concise and easily digestible content.
GIC Weekly Research Report
The Global Investment Committee's Lisa Shalett headlines this weekly look at markets, asset class performance and fixed income.
Check out the latest report
On The Markets Research Report
Detailed market commentary from Morgan Stanley's thought leaders on topics such as global equities, fixed income, monetary policy and more.
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Morgan Stanley Ideas Podcast
The Morgan Stanley Ideas Podcast brings you revealing stories about the world of business, finance, technology and beyond.
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A Parent's Guide to Talking to Your Kids About Money
Raising kids to be smart about money requires creating an environment where they are neither insecure, nor overconfident about family finances.
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You Can't Manage Portfolio Risk Without Seeing The Big Picture
What if there were a resource that could show you where your investment exposures are and how they might affect your returns in different scenarios?
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6 Money Questions to Ask Your Partner Before You Commit
Thinking of taking the next step with someone special? Head off money headaches by talking about your finances first.
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What's Your Relationship with Wealth
Before engaging in family wealth-planning conversations, you may want to examine your own feelings and attitudes about wealth. Here are some questions you can ask yourself.
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Innovative Ways to Pay for Education
A 529 plan is a great way to invest for future education costs, but there are also other options to raise the funds you need.
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Top 5 Mistakes Investors Make in a Market Sell-Off
Whether it is panic selling, hiding out in cash, or trading frantically during volatile markets, investors tend to make several mistakes that can hurt them long-term. Know how to spot—and avoid—the most common bad behaviors.
Click here for moreLocation
305 Church Street SW
Suite 720
Huntsville, AL 35801
US
Direct:
(256) 690-5486(256) 690-5486
Meet The Mantooth Pols Keene Group
Alex Pols
Senior Vice President, Financial Advisor
Phone:
(256) 690-5479(256) 690-5479
Pennie Keene
Senior Vice President, Financial Advisor
Phone:
(256) 690-5801(256) 690-5801
Matthew Mantooth
Financial Advisor
Phone:
(256) 690-5858(256) 690-5858
James W Bridges
Financial Advisor
Phone:
(256) 535-2866(256) 535-2866
Tom Keene
Wealth Management Analyst
Phone:
(256) 690-5802(256) 690-5802
Caleb Walker
Investment Consultant
Phone:
(256) 690-5486(256) 690-5486
Jared Mayfield
Vice President, Certified Financial Planner®
Phone:
(256) 690-5484(256) 690-5484
Julie Alley
Group Director, Certified Financial Planner®
Phone:
(256) 690-5492(256) 690-5492
Liz Giles Calvert
Senior Registered Client Service Associate
Phone:
(256) 690-5488(256) 690-5488
Hannah Ostrowski
Client Service Associate
Phone:
(256) 690-5805(256) 690-5805
About Mark Mantooth
Securities Agent: DC, PA, MI, KS, WY, WA, LA, KY, ID, CT, AZ, TX, NY, NJ, AR, WI, DE, OH, FL, VA, SC, RI, NC, MD, TN, MN, MA, IL, GA, CA, WV, MO, CO, AL, AK, UT, OR, NV, OK, NM, MS, IN; General Securities Representative; Investment Advisor Representative
NMLS#: 510709
NMLS#: 510709
About Alex Pols
Alex is a Senior Vice President of Wealth Management and a Senior Financial Advisor at Morgan Stanley. He has been in the financial industry since 2004 and with Morgan Stanley since 2020. However, that’s not where his knowledge of being a financial advisor first started. Being a third-generation advisor, Alex learned about markets and saw his father and grandfather help clients firsthand. This is where his passion for helping people find solutions to life milestones first started.
Alex attended Auburn University in Auburn, Alabama and majored in Business with a focus in finance and economics. Along with his degree, Alex is a Certified Plan Fiduciary Advisor.
Supporting the local and regional community is important to the team and Alex. Together with his family and team, they offer support to local education centers, the arts, and those in need. Some of the organizations they support include Russell Hill Fight Night 'Knocking Cancer Out,' The Arts Council of Huntsville, WEDC, Ballet Guild, Monte Sano Elementary, Asha Kiran, and Village of Promise.
Outside of work, Alex likes to head out to the golf course and exercise. Alex’s garden is filled with flowers, fruits, and vegetables. Lastly, he is a family focused man and is joined by his wife and 3 kids.
Alex attended Auburn University in Auburn, Alabama and majored in Business with a focus in finance and economics. Along with his degree, Alex is a Certified Plan Fiduciary Advisor.
Supporting the local and regional community is important to the team and Alex. Together with his family and team, they offer support to local education centers, the arts, and those in need. Some of the organizations they support include Russell Hill Fight Night 'Knocking Cancer Out,' The Arts Council of Huntsville, WEDC, Ballet Guild, Monte Sano Elementary, Asha Kiran, and Village of Promise.
Outside of work, Alex likes to head out to the golf course and exercise. Alex’s garden is filled with flowers, fruits, and vegetables. Lastly, he is a family focused man and is joined by his wife and 3 kids.
Securities Agent: AK, IL, AL, TX, TN, NM, MT, MS, KY, FL, WI, NJ, MD, CT, CA, NV, MO, KS, VA, RI, IN, GA, DC, CO, OR, OK, MN, LA, ID, AR, WA, SC, AZ, WV, WY, OH, NC, UT, MA, PA, NY, MI, DE; General Securities Principal; General Securities Representative; Investment Advisor Representative
NMLS#: 1161190
NMLS#: 1161190
About Me
Pennie is a Senior Vice President - Wealth Management and has 38 years of experience in the investment advisory and financial planning industry. Pennie obtained her Bachelor of Arts Mass Communications, Journalism and Business at the university of South Florida. Pennie began her career working in newspaper, television, and public relations before transitioning into a career in the investment advisory and financial planning industry.
Pennie prepares customized financial plans for our clients which are monitored and reviewed to help keep clients on track for their goals. She has been preparing financial plans long before formal plans were in place, originally using a yellow legal pad. Pennie treats her clients like family and helps them with any situation that might arise. Through her multi generation planning-based practice, Pennie and her team offer sound investment advice to help clients grow their assets. Life insurance, long-term care insurance, estate planning strategy, and lending solutions are also an important part of the full financial services that Pennie and her team offer. As a leader in financial planning in her practice, Pennie likes to say, “we don’t make a move forward without a plan in place”. Pennie was named one of the top Women Wealth Advisors by Forbes in 2020 and 2021 and Best in State Wealth Advisors in Alabama for 2021.
Outside of work, her interests include her faith, family, friends, and travel. She loves balancing life with husband Tom as well as being in the financial services industry with him.
In her community, Pennie is a volunteer at the Junior League of Huntsville since 1990, Huntsville Symphony Guild since 2006, Lincoln Village Ministry, Village of Promise, Boys and Girls Club, Habitat for Humanity, Huntsville Art Museum and Westminster Christian Academy.
Forbes America's Top Women Wealth Advisors
Source: Forbes.com (Awarded Apr 2020) Data compiled by SHOOK Research LLC based on time period from 9/30/18 - 9/30/19.
Forbes America's Top Women Wealth Advisors
Source: Forbes.com (Awarded Mar 2021) Data compiled by SHOOK Research LLC based on time period from 9/30/19 - 9/30/20.
Forbes Best-In-State Wealth Advisors
Source: Forbes.com (Awarded Feb 2021) Data compiled by SHOOK Research LLC based on time period from 6/30/19 - 6/30/20.
Pennie prepares customized financial plans for our clients which are monitored and reviewed to help keep clients on track for their goals. She has been preparing financial plans long before formal plans were in place, originally using a yellow legal pad. Pennie treats her clients like family and helps them with any situation that might arise. Through her multi generation planning-based practice, Pennie and her team offer sound investment advice to help clients grow their assets. Life insurance, long-term care insurance, estate planning strategy, and lending solutions are also an important part of the full financial services that Pennie and her team offer. As a leader in financial planning in her practice, Pennie likes to say, “we don’t make a move forward without a plan in place”. Pennie was named one of the top Women Wealth Advisors by Forbes in 2020 and 2021 and Best in State Wealth Advisors in Alabama for 2021.
Outside of work, her interests include her faith, family, friends, and travel. She loves balancing life with husband Tom as well as being in the financial services industry with him.
In her community, Pennie is a volunteer at the Junior League of Huntsville since 1990, Huntsville Symphony Guild since 2006, Lincoln Village Ministry, Village of Promise, Boys and Girls Club, Habitat for Humanity, Huntsville Art Museum and Westminster Christian Academy.
Forbes America's Top Women Wealth Advisors
Source: Forbes.com (Awarded Apr 2020) Data compiled by SHOOK Research LLC based on time period from 9/30/18 - 9/30/19.
Forbes America's Top Women Wealth Advisors
Source: Forbes.com (Awarded Mar 2021) Data compiled by SHOOK Research LLC based on time period from 9/30/19 - 9/30/20.
Forbes Best-In-State Wealth Advisors
Source: Forbes.com (Awarded Feb 2021) Data compiled by SHOOK Research LLC based on time period from 6/30/19 - 6/30/20.
Securities Agent: IN, NM, NC, CO, AL, WV, RI, AZ, MO, WY, WI, TX, PA, NV, MA, NJ, KS, DE, DC, FL, IL, OK, MD, KY, GA, CA, WA, TN, SC, NY, AR, VA, MI, OR, OH, MS, LA; General Securities Representative; Investment Advisor Representative
NMLS#: 2274466
NMLS#: 2274466
About Matthew Mantooth
Securities Agent: AL, CA, NC, MS, MD, KY, KS, DE, TX, OR, NJ, IL, ID, AZ, WA, MO, CO, AR, SC, NV, WY, PA, MA, OH, LA, DC, AK, WV, TN, OK, IN, MN, RI, NY, GA, CT, WI, VA, UT, NM, MI, FL; General Securities Representative; Investment Advisor Representative
NMLS#: 2666549
NMLS#: 2666549
About James W Bridges
Securities Agent: WA, GA, OR, KS, TN, SC, PA, OK, MA, DC, CO, NM, IN, WI, MD, LA, KY, CA, TX, NY, NJ, MS, FL, AZ, AL, UT, OH, IL, DE, AR, WV, VA, RI, MI, WY, NV, NC; General Securities Representative; Investment Advisor Representative
NMLS#: 2553373
NMLS#: 2553373
Contact Mark Mantooth
Contact Alex Pols
Contact Pennie Keene
Contact Matthew Mantooth
Contact James W Bridges
Wealth Management
Global Investment Office
Portfolio Insights
Retirement
Working with you to understand your life goals and develop a personalized wealth strategy. Today and for the years to come.
- 401(k) Rollovers
- IRA Plans
- Retirement income strategies
- Retirement plan participants
- Annuities
A Simple Six-Step Retirement Checkup
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Investing
Working closely with you to guide your wealth and investments through the most challenging market cycles.
- Asset Management
- Wealth Planning
- Traditional Investments
- Alternative Investments
- Impact Investing
Rational Investing in an Age of Uncertainty
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Family
Creating customized financial strategies for the challenges that today’s families face.
- Estate Planning Strategies
- 529 Plans / Education Savings Planning
- Long Term Care Insurance
- Special Needs Planning
- Trust Services
529 Plans: A Powerful Tool to Save for Education
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Business Planning
Helping you on key aspects of your business such as ownership, liquidity and developing opportunities.
- Succession Planning
- Business Planning
- Qualified Retirement Plans
Financial Planning for Life After Selling a Business
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Philanthropy
Making sure your philanthropic dollars are managed with the same high quality service as the rest of your wealth.
- Endowments
- Foundations
- Donor Advised Funds
- Impact Investing
Ready to start a conversation? Contact The Mantooth Pols Keene Group today.
1When 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.
For more information, please see the Morgan Stanley Smith Barney LLC Client Relationship Summary.
2Morgan Stanley Smith Barney LLC does not accept appointments nor will it act as a trustee but it will provide access to trust services through an appropriate third-party corporate trustee.
Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors and Private Wealth Advisors do not provide tax or legal advice. Clients should consult their tax advisor for matters involving taxation and tax planning and their attorney for matters involving trust and estate planning and other legal matters.
3Morgan 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.
4Morgan 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.
5Investors should consider many factors before deciding which 529 plan is appropriate. Some of these factors include: the Plan's investment options and the historical investment performance of these options, the Plan's flexibility and features, the reputation and expertise of the Plan's investment manager, Plan contribution limits and the federal and state tax benefits associated with an investment in the Plan. Some states, for example, offer favorable tax treatment and other benefits to their residents only if they invest in the state's own Qualified Tuition Program. Investors should determine their home state's tax treatment of 529 plans when considering whether to choose an in-state or out-of-state plan. Investors should consult with their tax or legal advisor before investing in any 529 Plan or contact their state tax division for more information. Morgan Stanley Smith Barney LLC does not provide tax and/or legal advice. Investors should review a Program Disclosure Statement, which contains more information on investment options, risk factors, fees and expenses and possible tax consequences.
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 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
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.
CFP Board owns the marks CFP®, CERTIFIED FINANCIAL PLANNER®, and CFP® (with plaque design) in the U.S., which it awards to individuals who successfully complete CFP Board's initial and ongoing certification requirements.
The use of the CDFA designation does not permit the rendering of legal advice by Morgan Stanley or its Financial Advisors which may only be done by a licensed attorney. The CDFA designation is not intended to imply that either Morgan Stanley or its Financial Advisors are acting as experts in this field.
Awards Disclosures | Morgan Stanley
For more information, please see the Morgan Stanley Smith Barney LLC Client Relationship Summary.
2Morgan Stanley Smith Barney LLC does not accept appointments nor will it act as a trustee but it will provide access to trust services through an appropriate third-party corporate trustee.
Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors and Private Wealth Advisors do not provide tax or legal advice. Clients should consult their tax advisor for matters involving taxation and tax planning and their attorney for matters involving trust and estate planning and other legal matters.
3Morgan 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.
4Morgan 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.
5Investors should consider many factors before deciding which 529 plan is appropriate. Some of these factors include: the Plan's investment options and the historical investment performance of these options, the Plan's flexibility and features, the reputation and expertise of the Plan's investment manager, Plan contribution limits and the federal and state tax benefits associated with an investment in the Plan. Some states, for example, offer favorable tax treatment and other benefits to their residents only if they invest in the state's own Qualified Tuition Program. Investors should determine their home state's tax treatment of 529 plans when considering whether to choose an in-state or out-of-state plan. Investors should consult with their tax or legal advisor before investing in any 529 Plan or contact their state tax division for more information. Morgan Stanley Smith Barney LLC does not provide tax and/or legal advice. Investors should review a Program Disclosure Statement, which contains more information on investment options, risk factors, fees and expenses and possible tax consequences.
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 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
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.
CFP Board owns the marks CFP®, CERTIFIED FINANCIAL PLANNER®, and CFP® (with plaque design) in the U.S., which it awards to individuals who successfully complete CFP Board's initial and ongoing certification requirements.
The use of the CDFA designation does not permit the rendering of legal advice by Morgan Stanley or its Financial Advisors which may only be done by a licensed attorney. The CDFA designation is not intended to imply that either Morgan Stanley or its Financial Advisors are acting as experts in this field.
Awards Disclosures | Morgan Stanley
CRC 4665150 (8/2025)
