Timothy Mixon, CFP®
First Vice President, Financial Advisor, Portfolio Manager
The Mixon Smith Thomason Group at Morgan Stanley
Direct:
(770) 643-7621(770) 643-7621
Toll-Free:
(800) 229-4190(800) 229-4190
Our Mission Statement
Our Clients are the foundation of our practice. As such, we are committed to making a meaningful difference in their lives by guiding them to make well-informed financial decisions, helping them to attain their goals and striving to transcend their expectations.
Our Commitment to You
We are committed to providing a high level of client service, proactively and responsively. Equally important is our attentiveness to anticipating changes in our clients' lives and to helping them be prepared to meet those circumstances as they arise. We endeavor to earn our clients' trust and build long-lasting relationships with them and their families.
We differentiate ourselves from other financial services companies by delivering a comprehensive approach to wealth management and asset protection strategies, delivered with a superior level of personal service and honest, straightforward advice. The Mixon Smith Thomason Group has strategically managed the growth of our practice to ensure that we add clients at a measured pace so we can help address their financial circumstances with the proper amount of care and guidance. We have combined market experience of over 85 years and we employ that experience diligently on your behalf to create the most appropriate financial strategies for you, our valued client.
Our Team will help you manage your financial assets and put them to work for you in an efficient and productive manner, while helping you monitor your exposure to risk. We will communicate with you proactively with regular phone calls and performance reviews and offer, at minimum, an annual face-to-face meeting. We thank you for allowing us the opportunity to earn your trust and your business. We treat our role as stewards of your capital with great seriousness and care. We look forward to being your advisor and helping you and your family reach your financial goals.
Sincerely,
The Mixon Smith Thomason Group
We differentiate ourselves from other financial services companies by delivering a comprehensive approach to wealth management and asset protection strategies, delivered with a superior level of personal service and honest, straightforward advice. The Mixon Smith Thomason Group has strategically managed the growth of our practice to ensure that we add clients at a measured pace so we can help address their financial circumstances with the proper amount of care and guidance. We have combined market experience of over 85 years and we employ that experience diligently on your behalf to create the most appropriate financial strategies for you, our valued client.
Our Team will help you manage your financial assets and put them to work for you in an efficient and productive manner, while helping you monitor your exposure to risk. We will communicate with you proactively with regular phone calls and performance reviews and offer, at minimum, an annual face-to-face meeting. We thank you for allowing us the opportunity to earn your trust and your business. We treat our role as stewards of your capital with great seriousness and care. We look forward to being your advisor and helping you and your family reach your financial goals.
Sincerely,
The Mixon Smith Thomason Group
Services Include
- Financial PlanningFootnote1
- Estate Planning StrategiesFootnote2
- Wealth ManagementFootnote3
- Retirement PlanningFootnote4
- Planning for Education FundingFootnote5
- Professional Portfolio ManagementFootnote6
- 401(k) Rollovers
- Trust Services*
- Trust AccountsFootnote7
- Life InsuranceFootnote8
- Long Term Care InsuranceFootnote9
Check the background of Our Firm and Investment Professionals on FINRA's BrokerCheck.*
Who & What We Work With
Our team is committed to financial literacy and serving the financial needs of a diverse group of clients. While we acknowledge that each client has specific financial goals and circumstances, all clients have one thing in common: they have accumulated significant assets and need help developing a comprehensive and cohesive wealth strategy. Our role is to help clients effectively manage and preserve their assets so that they may take care of their loved ones, spend more time pursuing activities that they enjoy, and support the causes most important to them.
Ultra-High-Net / High-Net-Worth
With exceptional wealth comes exceptional complexity. Morgan Stanley combines the vast resources of a trusted global financial services firm with the individualized services of an investment boutique for a hands-on tailored approach to help families, foundations and individuals manage the multiple facets —and legacy—of their wealth.
Multi-Generational Families
We deliver the experience, knowledge and resources needed to help you create and implement a comprehensive, multigenerational wealth management plan based on your needs, values and aspirations.
Portfolio Risk Management
One of the fundamental lessons of investing is the importance of balancing portfolio risk—the possibility that the investments you own won’t perform as you expect—with the potential for returns. Here at Morgan Stanley, we can help you get a better idea of the risks you may face, as well as how to mitigate them.
Small Business Owners and Entrepreneurs
As a business owner, you have devoted your career to building your enterprise. Now it is time to plan for what comes next: enjoying the substantial rewards, spending more time with your family and pursuing new challenges. It is a transition that is among the most complex in the business world— and life.
Tax Management Planning
A strategy to keep more of your returns with a tax-managed investment portfolio.
Robust Investment / College & Education Planning
The cornerstone of an effective wealth management plan is comprehensive financial planning, which captures goals, resources and expectations for the future. Morgan Stanley also offers a variety of 529 plan options to help you save for college and other education expenses as well.
Our Process
We strive to build deep relationships with our clients by providing transparency and establishing an open line of communication throughout all four phases of our process. When you work with us, you will be alongside a professional team devoted to your financial success.
1. Discovery
It starts with listening. We ask about your needs, your dreams, your tolerance for risk, and your time horizon. We strive to know everything we can about you, your family, and your short-term and long-term goals. This helps us to design a flexible wealth management plan that is uniquely yours.
2. Plan
We walk through your financial goals up to and through retirement. Then, our collaborative team constructs a tailored financial plan deliberately aligned with your needs. Your plan will be holistic and measurable to help ensure that we can track our progress toward your entire set of objectives.
3. Invest
We believe it is crucial that your investments harmonize with your financial plan. Once your plan is in place, we will present a customized investment proposal. After explaining the details of the proposal – and how it will contribute to your goals – we listen to your feedback.
4. Protect
It is important to be prepared for the unexpected. Our team will sit down with you and discuss your needs for insurance. We help ensure that your plan stays monitored and ready to be adjusted given any changes in your life, financial needs, or personal goals.
VALUABLE TOOLS AND RESOURCES
We believe financial education leads to better insights into our investment strategy and better long-term decisions. As a result, we are committed to providing you with important information about managing your wealth more effectively in today’s global markets.
We have assembled the following resources that reinforce the fundamental investment strategies and concepts of our practice.
We have assembled the following resources that reinforce the fundamental investment strategies and concepts of our practice.
Morgan Stanley Online
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eDelivery
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Total Tax 365
Taxes can be a substantial drag on investment returns. Morgan Stanley Total Tax 365 offers access to a broad range of tax-efficient strategies to help you integrate tax planning into your investment process all year long, maximize portfolio after-tax return potential and help keep more of what you earn.
Learn More
Reserved Living and Giving
Reserved Living & Giving is a complimentary loyalty program available to clients with a minimum of $1M in AUM. It can help clients save time and money on travel, gifts, automobiles and more.
Learn More about MS Reserved
Total Wealth View
Complete your financial picture with Total Wealth View. By linking your external account information, you will benefit from more informed and comprehensive wealth planning and convenient connectivity.
Learn more about Total Wealth View
LifeView® Financial Goal Analysis and Financial Plan
Our relationship begins with a thorough understanding of you—your needs, your lifestyle and family, and your goals for the future. Leveraging our vast resources, including intellectual capital, experience and dedicated service, we can work with you to create a personalized wealth strategy. Over time, we will adapt it to changing circumstances, helping you to achieve your goals and protect what is meaningful to you.
Learn more about LifeView® Financial Goal Analysis and Financial PlanOur Suite of Services
At the Mixon Smith Thomason Group, our clients are diverse and have a variety of different needs. We offer a large suite of services including but not limited to the following:
Financial Planning
We understand looking at the big picture of your finances can be challenging, stressful, and overwhelming. That is where we come in. We help you create a holistic financial plan that is transparent and measurable. When we develop your plan, we take in all the information we possibly can about your life, aspirations, and current situation to tailor it and make it adaptable to inevitable changes in your life as they come.
Learn about our Goals Based System
Next Gen Wealth
The importance of legacy cannot be understated. Our relationships with our clients span across generations, and we regularly have conversations around implementing strategies to provide for our client’s families for generations to come. This comes in many forms, including developing investment plans for our client’s children and grandchildren, educating our clients on financial literacy, and leveraging Morgan Stanley’s suite of financial tools and resources.
Resources on financial literacy
Divorce Financial Analysis
Divorcing a spouse can be a difficult ordeal, with repercussions for your client’s emotional and financial well-being. As your financial advisor, we seek to simplify this transition by understanding the entirety of your new situation and reviewing your income, goals for your children, insurance policies, retirement accounts, estate plans, and more.
Learn more
Corporate Retirement Planning
Planning for retirement is not easy and picking the right corporate retirement plan can be overwhelming. Whether you are at a new job and need help selecting and monitoring the appropriate corporate financial plan, or you are leaving your job and in need of assistance with a 401(k) rollover, or you are an employer needing to provide your employees with the optimal plan, we are here to help.
Small Business Planning
Planning for your business is a daunting task to do alone. We look at all facets of your business plan and provide strategies to ensure you have access to capital, proper management of receivables and payables, avenues to secure financing, and a well thought out exit strategy if you are looking to sell or pass on your business.
Learn about our business planning offerings
Education Funding
Investing in the future of your children and grandchildren is a selfless and fulfilling decision, yet a complicated one. We can help you access and choose the optimal investment vehicle to reach this goal.
Learn about 529 plansLocation
2400 Lakeview Pkwy
Suite 300
Alpharetta, GA 30009
US
Direct:
(770) 643-7621(770) 643-7621
Toll-Free:
(800) 229-4190(800) 229-4190
Meet The Mixon Smith Thomason Group
R Scott Smith
Senior Vice President, Financial Advisor, Portfolio Management Director
Shannon Thomason
First Vice President, Financial Advisor
Chelsey Melton
Portfolio Associate
About Timothy Mixon
Tim’s experience as a CERTIFIED FINANCIAL PLANNER™ practitioner provides clients with a comprehensive approach to managing their wealth in a coordinated manner. He works closely with business owners, corporate executives and families to address a wide array of wealth-related issues.
Tim has been a Financial Advisor since moving to the Metro Atlanta area in 1999. In addition to a Bachelor’s degree in Marketing from Florida State
University, he earned an MBA from The Sorrell College of Business at Troy
University.
He has held several officer positions, including President and Director, for the River Ridge Quarterback Club. He lives in Cherokee county with his wife and their two children.
Tim has been a Financial Advisor since moving to the Metro Atlanta area in 1999. In addition to a Bachelor’s degree in Marketing from Florida State
University, he earned an MBA from The Sorrell College of Business at Troy
University.
He has held several officer positions, including President and Director, for the River Ridge Quarterback Club. He lives in Cherokee county with his wife and their two children.
Securities Agent: IL, IN, LA, MD, MI, MO, MS, NC, NH, NJ, NM, NY, OH, OK, OR, SC, TN, TX, VA, VT, WA, WV, UT, AL, AZ, CA, CO, FL, GA, ID; General Securities Representative; Investment Advisor Representative; Managed Futures
NMLS#: 1288177
NMLS#: 1288177
About R Scott Smith
For over 30 years Scott has focused his practice on investment portfolio
management for high-net-worth individuals, highly affluent families, charities and foundations. He is primarily responsible for building and managing the team’s investment strategies.
Scott began his financial services career in 1985 and joined Morgan Stanley in
1998. He also served as a Sales Manager and Assistant Branch Manager in the Firm’s Atlanta-Buckhead office.
A native of Atlanta, Scott enjoys traveling and is an FAA licensed pilot. He is a
graduate of the Terry College of Business at the University of Georgia with a BBA in Marketing. He lives in Cumming, GA with his wife, their twin sons and daughter.
management for high-net-worth individuals, highly affluent families, charities and foundations. He is primarily responsible for building and managing the team’s investment strategies.
Scott began his financial services career in 1985 and joined Morgan Stanley in
1998. He also served as a Sales Manager and Assistant Branch Manager in the Firm’s Atlanta-Buckhead office.
A native of Atlanta, Scott enjoys traveling and is an FAA licensed pilot. He is a
graduate of the Terry College of Business at the University of Georgia with a BBA in Marketing. He lives in Cumming, GA with his wife, their twin sons and daughter.
Securities Agent: UT, CO, VA, TN, NH, CA, TX, ID, OK, OH, IN, PA, MD, FL, WV, WI, OR, NY, NV, NC, VT, SC, MI, LA, AZ, NM, MO, GA, AL, MS, IL, WA, NJ; BM/Supervisor; General Securities Representative; Investment Advisor Representative
NMLS#: 1288067
NMLS#: 1288067
About Shannon Thomason
Shannon enjoys helping people understand their investments and how
today’s headlines can affect their long-term success. Her daily focus is on
communicating with clients about their portfolios and delivering an exceptional
client experience.
She has been with Morgan Stanley since 1993 and held several positions prior to becoming a fully licensed Financial Advisor, including as a Senior Client
Service Assistant.
Shannon is an enthusiastic equestrian, competing in Endurance Rides throughout The United States. She currently serves as President of the Southeast Endurance Riders Association. Shannon lives in Cumming, GA with her husband, horses and pets.
today’s headlines can affect their long-term success. Her daily focus is on
communicating with clients about their portfolios and delivering an exceptional
client experience.
She has been with Morgan Stanley since 1993 and held several positions prior to becoming a fully licensed Financial Advisor, including as a Senior Client
Service Assistant.
Shannon is an enthusiastic equestrian, competing in Endurance Rides throughout The United States. She currently serves as President of the Southeast Endurance Riders Association. Shannon lives in Cumming, GA with her husband, horses and pets.
Securities Agent: NJ, UT, WV, WI, WA, VT, VA, TX, TN, SC, OR, OK, OH, NY, NM, NH, NC, MS, MO, MI, MD, LA, KY, IN, IL, ID, HI, GA, FL, CO, CA, AZ, AL; General Securities Representative; Investment Advisor Representative; Managed Futures
NMLS#: 1390920
NMLS#: 1390920
About Lee Cannon
Lee works as a Financial Advisor in a business development and client relations role. He brings with him a breadth of business knowledge acquired over the past decade working with small business owners, medical practice owners, surgeons, hospital staff and hospital administration. Lee will primarily focus on developing new clients while providing support for portfolio management and research.
Lee joined Morgan Stanley in 2020 and has lived in the Metro Atlanta area since moving from Rome, GA where he attended college. He earned a BBA in Finance & Economics from Kennesaw State’s Coles College of Business.
Lee plays USTA and ALTA tennis and is an avid golfer. He lives in Woodstock, GA with his wife and their two children and attends First Baptist Church of Woodstock.
Feel free to reach out to Lee:
Office - 770-643-7637
Mobile - 770-891-4924
Lee joined Morgan Stanley in 2020 and has lived in the Metro Atlanta area since moving from Rome, GA where he attended college. He earned a BBA in Finance & Economics from Kennesaw State’s Coles College of Business.
Lee plays USTA and ALTA tennis and is an avid golfer. He lives in Woodstock, GA with his wife and their two children and attends First Baptist Church of Woodstock.
Feel free to reach out to Lee:
Office - 770-643-7637
Mobile - 770-891-4924
Securities Agent: MO, TX, OK, NJ, WV, IN, WA, VT, VA, TN, SC, OR, OH, NY, NM, NH, NC, MS, MI, MD, LA, IL, ID, GA, FL, CO, CA, AZ, AL, UT; General Securities Representative; Investment Advisor Representative
NMLS#: 1990415
NMLS#: 1990415
About Chelsey Melton
Chelsey enjoys handling the operation side of the business, making sure her clients understand all the services and benefits of their accounts. She has been with Morgan Stanley since 2015 and works with the team in planning regular client events and educational dinners.
Chelsey is a graduate of the University of Nevada with a BAA in Business Management. She lives in Alpharetta, GA with her husband, enjoys the outdoors and spending time with her extended family.
Chelsey is a graduate of the University of Nevada with a BAA in Business Management. She lives in Alpharetta, GA with her husband, enjoys the outdoors and spending time with her extended family.
Contact Timothy Mixon
Contact R Scott Smith
Contact Shannon Thomason
Contact Lee Cannon
The Power of Partnerships
By partnering with experienced individuals across wealth disciplines, Morgan Stanley Financial Advisors can align specialized resources with your custom needs and deliver strategic guidance through the familiarity and trust of existing relationships
Maranda Barbour
Private Banker
Nikki Roberts
Associate Private Banker
Tess Pisanelli
Planning Associate
About Maranda Barbour
NMLS# 1182370
Maranda Barbour is a Loan Portfolio Manager serving Morgan Stanley’s Wealth Management offices in the Southeast Region.
Maranda began her career in financial services in 1999, and joined Morgan Stanley in 2010. Prior to being promoted to her current position, she served as an Associate Private Banker in Atlanta, Georgia. Before she joined the firm, Maranda was a Premier Client Manager for Bank of America.
Maranda earned her Bachelor of Science degree in Marketing from Winthrop University. She and her family live in Alpharetta, Georgia.
Outside of the office, Maranda dedicates her time to youth mentoring programs and numerous community organizations, including Girl Scouts of America and the Greater North Atlanta Chapter of Jack and Jill of America, Inc. She also enjoys walking, traveling, and hiking.
Maranda Barbour is a Loan Portfolio Manager serving Morgan Stanley’s Wealth Management offices in the Southeast Region.
Maranda began her career in financial services in 1999, and joined Morgan Stanley in 2010. Prior to being promoted to her current position, she served as an Associate Private Banker in Atlanta, Georgia. Before she joined the firm, Maranda was a Premier Client Manager for Bank of America.
Maranda earned her Bachelor of Science degree in Marketing from Winthrop University. She and her family live in Alpharetta, Georgia.
Outside of the office, Maranda dedicates her time to youth mentoring programs and numerous community organizations, including Girl Scouts of America and the Greater North Atlanta Chapter of Jack and Jill of America, Inc. She also enjoys walking, traveling, and hiking.
NMLS#: 1182370
About Nikki Roberts
Nikki Roberts is a Private Banker serving Morgan Stanley Wealth Management offices in Georgia.
Private Bankers partner with Financial Advisors to develop a specialized approach for managing clients’ cash flow, liquidity and financing needs, leveraging our comprehensive suite of cash management and lending solutions.
Nikki began her career in financial services in 2007, and joined Morgan Stanley in 2017. Prior to joining the firm, she was a Senior Wealth Management Lending Officer at Merrill Lynch. She also served as a Private Banker and Investment Analyst at JP Morgan’s Private Bank.
Nikki is a graduate of The Wharton School at the University of Pennsylvania, where she received a Bachelor of Science in Economics. She lives in Alpharetta, Georgia. Outside of the office, Nikki enjoys reading, listening to live music, and skiing. She volunteers with the Leukemia & Lymphoma Society and the University of Pennsylvania Alumni Club.
Private Bankers partner with Financial Advisors to develop a specialized approach for managing clients’ cash flow, liquidity and financing needs, leveraging our comprehensive suite of cash management and lending solutions.
Nikki began her career in financial services in 2007, and joined Morgan Stanley in 2017. Prior to joining the firm, she was a Senior Wealth Management Lending Officer at Merrill Lynch. She also served as a Private Banker and Investment Analyst at JP Morgan’s Private Bank.
Nikki is a graduate of The Wharton School at the University of Pennsylvania, where she received a Bachelor of Science in Economics. She lives in Alpharetta, Georgia. Outside of the office, Nikki enjoys reading, listening to live music, and skiing. She volunteers with the Leukemia & Lymphoma Society and the University of Pennsylvania Alumni Club.
NMLS#: 821883
About Tess Pisanelli
Tess is a Planning Associate at Morgan Stanley providing dedicated financial planning support to Financial Advisors and their teams. Operating as an extension of the FA/Team. She collaborates with clients to discover and define goals that matter most to them. Leveraging state of the art technology, she will evaluate various options and their potential outcomes to help clients confidently choose the appropriate course of action. Tess provides expertise across a wide suite of Morgan Stanley planning tools designed to assist in the areas of investment accumulation, retirement, education, major purchase, cash flow, risk management, tax efficiency, and wealth transfer planning.
She earned her undergraduate degree from Vanderbilt University and received the Financial Planning Specialist® designation from the College for Financial Planning. Tess is originally from Ridgefield, CT and currently resides in New York, NY.
She earned her undergraduate degree from Vanderbilt University and received the Financial Planning Specialist® designation from the College for Financial Planning. Tess is originally from Ridgefield, CT and currently resides in New York, NY.
Wealth Management
Global Investment Office
Portfolio Insights
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
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
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
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
Donor Advised Funds: A Smart Way to Manage Your Giving
Article Image
Financial Wellness
Enhancing Financial Wellness enables your workforce to do their best work. Companies that invest in financial wellness have an opportunity to:
- Reduce employee stress,
- Improve retention and engagement, and
- Set themselves apart by offering comprehensive financial wellness benefits.
Ready to start a conversation? Contact The Mixon Smith Thomason Group today.
Certified Financial Planner Board of Standards, Inc. (CFP Board) owns the certification marks CFP®, CERTIFIED FINANCIAL PLANNER™, and CFP® (with plaque design) in the United States, which it authorizes use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements.
1Morgan Stanley 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.
For more information, please see the Morgan Stanley Smith Barney LLC Client Relationship Summary.
2Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors and Private Wealth Advisors do not provide tax or legal advice. Clients should consult their tax advisor for matters involving taxation and tax planning and their attorney for matters involving trust and estate planning and other legal matters.
3Morgan Stanley Wealth Management is the trade name of Morgan Stanley Smith Barney LLC, a registered broker-dealer in the United States.
4When Morgan Stanley Smith Barney LLC, its affiliates and Morgan Stanley Financial Advisors and Private Wealth Advisors (collectively, “Morgan Stanley”) provide “investment advice” regarding a retirement or welfare benefit plan account, an individual retirement account or a Coverdell education savings account (“Retirement Account”), Morgan Stanley is a “fiduciary” as those terms are defined under the Employee Retirement Income Security Act of 1974, as amended (“ERISA”), and/or the Internal Revenue Code of 1986 (the “Code”), as applicable. When Morgan Stanley provides investment education, takes orders on an unsolicited basis or otherwise does not provide “investment advice”, Morgan Stanley will not be considered a “fiduciary” under ERISA and/or the Code. For more information regarding Morgan Stanley’s role with respect to a Retirement Account, please visit www.morganstanley.com/disclosures/dol. Tax laws are complex and subject to change. Morgan Stanley does not provide tax or legal advice. Individuals are encouraged to consult their tax and legal advisors (a) before establishing a Retirement Account, and (b) regarding any potential tax, ERISA and related consequences of any investments or other transactions made with respect to a Retirement Account. Individuals should consult their tax advisor for matters involving taxation and tax planning and their attorney for matters involving trust and estate planning, charitable giving, philanthropic planning and other legal matters.
5When Morgan Stanley Smith Barney LLC, its affiliates and Morgan Stanley Financial Advisors and Private Wealth Advisors (collectively, “Morgan Stanley”) provide “investment advice” regarding a retirement or welfare benefit plan account, an individual retirement account or a Coverdell education savings account (“Retirement Account”), Morgan Stanley is a “fiduciary” as those terms are defined under the Employee Retirement Income Security Act of 1974, as amended (“ERISA”), and/or the Internal Revenue Code of 1986 (the “Code”), as applicable. When Morgan Stanley provides investment education, takes orders on an unsolicited basis or otherwise does not provide “investment advice”, Morgan Stanley will not be considered a “fiduciary” under ERISA and/or the Code. For more information regarding Morgan Stanley’s role with respect to a Retirement Account, please visit www.morganstanley.com/disclosures/dol. Tax laws are complex and subject to change. Morgan Stanley does not provide tax or legal advice. Individuals are encouraged to consult their tax and legal advisors (a) before establishing a Retirement Account, and (b) regarding any potential tax, ERISA and related consequences of any investments or other transactions made with respect to a Retirement Account. Individuals should always check with their tax or legal advisor before engaging in any transaction involving 529 Plans, Education Savings Accounts and other tax-advantaged investments.
6Morgan Stanley’s investment advisory programs may require a minimum asset level and, depending on your specific investment objectives and financial position, may not be appropriate for you. Please see the Morgan Stanley Smith Barney LLC program disclosure brochure (the “Morgan Stanley ADV”) for more information in the investment advisory programs available. The Morgan Stanley ADV is available at www.morganstanley.com/ADV.
7Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors and Private Wealth Advisors do not provide tax or legal advice. Clients should consult their tax advisor for matters involving taxation and tax planning and their attorney for matters involving trust and estate planning and other legal matters.
8Insurance products are offered in conjunction with Morgan Stanley Smith Barney LLC’s licensed insurance agency affiliates.
9Insurance products are offered in conjunction with Morgan Stanley Smith Barney LLC’s licensed insurance agency affiliates.
Check the background of our Firm and Investment Professionals on FINRA's BrokerCheck*.
The information, products and services described here are intended only for individuals residing in states where this Financial Advisor is properly registered as described in this site.
Morgan Stanley reserves the right, to the extent permitted under applicable law, to retain and monitor all electronic communications. Morgan Stanley will not accept purchase or sale orders via any Internet site, social media site and/or its messaging systems. Morgan Stanley does not endorse and is not responsible and assumes no liability for content, products or services posted by third-parties on any Internet site, social media site and/or its messaging systems. All electronic communications are subject to terms available at the following link:
https://www.morganstanley.com/disclaimers/mswm-email.html. Any profiles and associated content are for U.S. residents only.
The securities/instruments, services, investments and investment strategies discussed in this material may not be appropriate for all investors. The appropriateness of a particular investment, investment strategy or service will depend on an investor's individual circumstances and objectives. Morgan Stanley Smith Barney LLC recommends that investors independently evaluate particular investments, strategies and services, and encourages investors to seek the advice of a Financial Advisor or Private Wealth Advisor. This material does not provide individually tailored investment advice. It has been prepared without regard to the individual financial circumstances and objectives of persons who receive it.
Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors or Private Wealth Advisors do not provide tax or legal advice. Individuals should consult their tax advisor for matters involving taxation and tax planning and their attorney for legal matters.
Morgan Stanley Smith Barney LLC (“Morgan Stanley”) is not implying an affiliation, sponsorship, endorsement with/of the third party or that any monitoring is being done by Morgan Stanley of any information contained within the website. Morgan Stanley is not responsible for the information contained on the third-party website or the use of or inability to use such site. Nor do we guarantee their accuracy or completeness.
The views, opinions or advice contained within third party websites or materials are solely those of the author, who is not a Morgan Stanley employee, and do not necessarily reflect those of Morgan Stanley Smith Barney LLC, or its affiliates. The strategies and/or investments referenced may not be appropriate for all investors as the appropriateness of a particular investment or strategy will depend on an investor's individual circumstances and objectives.
*References to length of service at Morgan Stanley include years at Morgan Stanley and predecessor firms.
Certified Financial Planner Board of Standards Inc. owns the certification marks CFP®, CERTIFIED FINANCIAL PLANNER™ and federally registered CFP (with flame design) in the U.S, which it awards to individuals who successfully complete CFP Board’s initial and ongoing certification requirements.
The use of the CDFA designation does not permit the rendering of legal advice by Morgan Stanley or its Financial Advisors which may only be done by a licensed attorney. The CDFA designation is not intended to imply that either Morgan Stanley or its Financial Advisors are acting as experts in this field.
Awards Disclosures
1Morgan Stanley 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.
For more information, please see the Morgan Stanley Smith Barney LLC Client Relationship Summary.
2Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors and Private Wealth Advisors do not provide tax or legal advice. Clients should consult their tax advisor for matters involving taxation and tax planning and their attorney for matters involving trust and estate planning and other legal matters.
3Morgan Stanley Wealth Management is the trade name of Morgan Stanley Smith Barney LLC, a registered broker-dealer in the United States.
4When Morgan Stanley Smith Barney LLC, its affiliates and Morgan Stanley Financial Advisors and Private Wealth Advisors (collectively, “Morgan Stanley”) provide “investment advice” regarding a retirement or welfare benefit plan account, an individual retirement account or a Coverdell education savings account (“Retirement Account”), Morgan Stanley is a “fiduciary” as those terms are defined under the Employee Retirement Income Security Act of 1974, as amended (“ERISA”), and/or the Internal Revenue Code of 1986 (the “Code”), as applicable. When Morgan Stanley provides investment education, takes orders on an unsolicited basis or otherwise does not provide “investment advice”, Morgan Stanley will not be considered a “fiduciary” under ERISA and/or the Code. For more information regarding Morgan Stanley’s role with respect to a Retirement Account, please visit www.morganstanley.com/disclosures/dol. Tax laws are complex and subject to change. Morgan Stanley does not provide tax or legal advice. Individuals are encouraged to consult their tax and legal advisors (a) before establishing a Retirement Account, and (b) regarding any potential tax, ERISA and related consequences of any investments or other transactions made with respect to a Retirement Account. Individuals should consult their tax advisor for matters involving taxation and tax planning and their attorney for matters involving trust and estate planning, charitable giving, philanthropic planning and other legal matters.
5When Morgan Stanley Smith Barney LLC, its affiliates and Morgan Stanley Financial Advisors and Private Wealth Advisors (collectively, “Morgan Stanley”) provide “investment advice” regarding a retirement or welfare benefit plan account, an individual retirement account or a Coverdell education savings account (“Retirement Account”), Morgan Stanley is a “fiduciary” as those terms are defined under the Employee Retirement Income Security Act of 1974, as amended (“ERISA”), and/or the Internal Revenue Code of 1986 (the “Code”), as applicable. When Morgan Stanley provides investment education, takes orders on an unsolicited basis or otherwise does not provide “investment advice”, Morgan Stanley will not be considered a “fiduciary” under ERISA and/or the Code. For more information regarding Morgan Stanley’s role with respect to a Retirement Account, please visit www.morganstanley.com/disclosures/dol. Tax laws are complex and subject to change. Morgan Stanley does not provide tax or legal advice. Individuals are encouraged to consult their tax and legal advisors (a) before establishing a Retirement Account, and (b) regarding any potential tax, ERISA and related consequences of any investments or other transactions made with respect to a Retirement Account. Individuals should always check with their tax or legal advisor before engaging in any transaction involving 529 Plans, Education Savings Accounts and other tax-advantaged investments.
6Morgan Stanley’s investment advisory programs may require a minimum asset level and, depending on your specific investment objectives and financial position, may not be appropriate for you. Please see the Morgan Stanley Smith Barney LLC program disclosure brochure (the “Morgan Stanley ADV”) for more information in the investment advisory programs available. The Morgan Stanley ADV is available at www.morganstanley.com/ADV.
7Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors and Private Wealth Advisors do not provide tax or legal advice. Clients should consult their tax advisor for matters involving taxation and tax planning and their attorney for matters involving trust and estate planning and other legal matters.
8Insurance products are offered in conjunction with Morgan Stanley Smith Barney LLC’s licensed insurance agency affiliates.
9Insurance products are offered in conjunction with Morgan Stanley Smith Barney LLC’s licensed insurance agency affiliates.
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Awards Disclosures
CRC 6491812 (04/2024)
