Phone:
(614) 473-2489(614) 473-2489
The ONE Columbus Group at Morgan Stanley
Direct:
(614) 473-2489(614) 473-2489
Toll-Free:
(866) 273-3726(866) 273-3726
Our Mission Statement
To know you and your family personally
To understand what is most important to you
To help develop a plan to best achieve your goals
So that you can spend your time enjoying the most important people and moments of your life
To understand what is most important to you
To help develop a plan to best achieve your goals
So that you can spend your time enjoying the most important people and moments of your life
OUR STORY
Whatever your hopes, dreams and needs, our goal and focus at The ONE Columbus Group is to understand them, and create a plan to help you achieve them. For over thirty years, our clients have trusted us to help navigate their evolving needs in an increasingly complex financial world.
We offer our clients strategic insight and guidance on a range of issues including life transitions, retirement income planning, educational funding, charitable giving, tax mitigation, estate, and multi-generational wealth transfer strategies.
As a result, we have been privileged to play a role in some of the most momentous events in our client's lives - as they announce their retirement, watch a child graduate from college or help fund a charity that holds a special place in their heart.
We invite you to meet with us to learn how we can work together to help you attain your hopes, dreams, and needs.
Services Include
- Wealth ManagementFootnote1
- Financial PlanningFootnote2
- Retirement PlanningFootnote3
- Estate Planning StrategiesFootnote4
- Professional Portfolio ManagementFootnote5
- Cash Management and Lending ProductsFootnote6
- Structured ProductsFootnote7
- Endowments and FoundationsFootnote8
- Donor Advised Funds
- Planning for Education FundingFootnote9
Check the background of Our Firm and Investment Professionals on FINRA's BrokerCheck.*
WORKING WITH YOU
We are a dedicated wealth management team of highly experienced and credentialed professionals, including CFP®, CRPS®, and QPFC® and we are committed to the ongoing development of our team. Financial planning is the foundation of our wealth management philosophy.
Our disciplined process not only helps our clients make complicated decisions confidently, but also committed to knowing that their concerns related to finances have been addressed.
Discovery
We begin every relationship with a conversation that continues throughout our relationship. Our goal is to not only learn about your financial needs, but everything most important to you, including challenges, opportunities, concerns and aspirations. This is our opportunity to get to know you on a personal level, and to understand your priorities, preferences and expectations. This will enable us to craft a plan to help you successfully address them.
Planning & Analysis
We believe financial planning is the foundation for informed decision-making, to help better align your wealth with your goals. Once we understand your financial considerations, we develop a personalized plan that addresses not only your investment needs, but other facets of your life which may be financially impacted by helping minimize taxes, reduce risk, and steward your wealth.
Strategy Formulation & Execution
The implementation meeting with you focuses on reviewing the financial planning recommendations and the custom strategies we have designed to help achieve your goals, including the steps and timeline to implement the strategies.
Ongoing Monitoring & Assessment
Life and financial changes can impact both your goals and priorities. We will keep you informed with timely market updates and deliver periodic plan reviews on a schedule that works best for you. Because our process is dynamic and consultative, we will make timely adjustments as new life events occur and your goals evolve. In an ever-changing economic and tax environment, we will also proactively present you with strategies to help you remain aligned with your long-term vision of success.
OUR CLIENTS
We have made it our mission to provide highly responsive and personalized wealth management services for our clients and their families, for over thirty years.
The depth of our caring team members' experience, expertise, and commitment to exceptional client service, has been invaluable in helping clients, and collaborating seamlessly with our clients' attorneys and tax advisors, as needed.
Our clients include:
- Individual and Multigenerational Families
- Executives and Professionals
- Business Owners
- Corporations - Retirement Plans and Participants
- Donor Advised Funds
- Taft-Hartley Plans
Location
4449 Easton Way
Suite 300
Columbus, OH 43219
US
Direct:
(614) 473-2489(614) 473-2489
Toll-Free:
(866) 273-3726(866) 273-3726
Fax:
(614) 867-9278(614) 867-9278
Meet The ONE Columbus Group
Phone:
(614) 798-3291(614) 798-3291
Phone:
(614) 473-2490(614) 473-2490
Brenda Moore, CFP®
Vice President, Wealth Management Associate
Phone:
(614) 473-2411(614) 473-2411
Marilyn McCabe
Registered Associate
About Dean Schockling
Dean developed a passion for investing at an early age. With earnings from a paper route, shoveling snow, and mowing lawns as a child, he invested in Certificates of Deposit at the age of 12, and invested in his first stock at age at 15. His passion for finance led him to Ohio University, where he received a Bachelor’s Degree in Business Administration. He joined Morgan Stanley in 1993 and has been a dedicated and hardworking member of the team ever since. While working for the firm, Dean was accepted to and completed the Senior Financial Advisor's program at The Wharton School.
With thirty-one years of experience, Dean has virtually unparalleled wealth management experience. He is committed to providing diligent and prudent service to his clients. In addition to his comprehensive wealth management experience, Dean has earned numerous certifications such as Registered Representative, NYSE/NASD, Registered Investment Advisor, and is licensed for supervision of Financial Advisors. Additionally, Dean is licensed for Managed Futures Funds, Equity Option Strategies, Life Insurance, Fixed, and Variable Annuities. As a result of his diligence and success with the firm, Dean was invited to join The President’s Club, an elite group comprised of the firm’s leading Financial Advisors.
Dean, his wife Kelly, and their three children are active members of the philanthropic community and donate significant time and resources to numerous non-profit organizations.
With thirty-one years of experience, Dean has virtually unparalleled wealth management experience. He is committed to providing diligent and prudent service to his clients. In addition to his comprehensive wealth management experience, Dean has earned numerous certifications such as Registered Representative, NYSE/NASD, Registered Investment Advisor, and is licensed for supervision of Financial Advisors. Additionally, Dean is licensed for Managed Futures Funds, Equity Option Strategies, Life Insurance, Fixed, and Variable Annuities. As a result of his diligence and success with the firm, Dean was invited to join The President’s Club, an elite group comprised of the firm’s leading Financial Advisors.
Dean, his wife Kelly, and their three children are active members of the philanthropic community and donate significant time and resources to numerous non-profit organizations.
Securities Agent: AL, LA, TX, MA, HI, OH, MI, KY, VA, TN, SC, PA, NJ, WA, NC, IL, GA, FL, CO; BM/Supervisor; General Securities Representative; Investment Advisor Representative; Managed Futures
NMLS#: 276023
NMLS#: 276023
About Rebecca Krutko
Rebecca helps successful individuals and families navigate their most important financial considerations leading them through retirement to achieve their goals, including - financial, retirement and estate planning strategies, investment management, liquidity and income generation, tax minimization and risk mitigation strategies. Rebecca has presented on financial topics including women and wealth, retirement planning, impact investing and non-profit investment policy statement reviews. Rebecca’s professional experience includes commercial banking officer, senior analyst - petroleum real estate investment trust (REIT), adjunct college instructor, CEO/President of small business startups and professional musician.
As an active member in her church and supporter of local community causes and events, Rebecca’s service has included: Board member, National Multiple Sclerosis Society – Buckeye Chapter; Board member, Women for Economic and Leadership Development (“WELD,”); Finance & Development Committees, Healthy Worthington Resource Center and Food Pantry, and volunteer, Komen Race for The Cure.
Rebecca has earned her Series 7, 31 and 66 securities licenses, Life and Health Insurance licenses and the Qualified Plan Financial Consultant, QPFC® professional designation.
As an active member in her church and supporter of local community causes and events, Rebecca’s service has included: Board member, National Multiple Sclerosis Society – Buckeye Chapter; Board member, Women for Economic and Leadership Development (“WELD,”); Finance & Development Committees, Healthy Worthington Resource Center and Food Pantry, and volunteer, Komen Race for The Cure.
Rebecca has earned her Series 7, 31 and 66 securities licenses, Life and Health Insurance licenses and the Qualified Plan Financial Consultant, QPFC® professional designation.
Securities Agent: MI, KY, WA, CO, PA, AZ, AL, TN, OH, MA, VA, GA, TX, LA, IL, NJ, HI, SC, NC, MD, FL, NY; General Securities Representative; Investment Advisor Representative; Managed Futures
NMLS#: 2545674
NMLS#: 2545674
About Lee Schockling
Lee Schockling, CFP®, CRPS®, Financial Advisor, joined The ONE Columbus Group at Morgan Stanley in 2023, focusing on ultra conservative investment options and creating holistic financial plans.
From a young age, Lee’s parents impressed upon him the idea to work hard, make money, and make that money work hard for him. So, Lee created a landscape business at the age of 13 and worked jobs you can’t find kids to do today. Lee would ride his bike to the bank with the earnings and invest in Certificate of Deposits. He invested in stocks and mutual funds by his freshman year at St. Francis DeSales High School and created a comprehensive financial plan at age 18.
Lee graduated from Central Michigan University with a personal financial planning major and while there passed the Securities Industry Essential (SIE) exam. Lee pursued this career path because of his interest in finance and to help empower others to achieve their financial goals. Upon graduation he worked at First Commonwealth bank and passed the Certified Financial Planner™ Exam and the Life & Health Insurance exam.
Lee joined Morgan Stanley in 2021 and completed the Series 7 as well as the Series 66 exam and this led him to joining The ONE Columbus Group in 2023.
Lee is actively philanthropic with Special Olympics, and the Rotary Club of Westerville.
From a young age, Lee’s parents impressed upon him the idea to work hard, make money, and make that money work hard for him. So, Lee created a landscape business at the age of 13 and worked jobs you can’t find kids to do today. Lee would ride his bike to the bank with the earnings and invest in Certificate of Deposits. He invested in stocks and mutual funds by his freshman year at St. Francis DeSales High School and created a comprehensive financial plan at age 18.
Lee graduated from Central Michigan University with a personal financial planning major and while there passed the Securities Industry Essential (SIE) exam. Lee pursued this career path because of his interest in finance and to help empower others to achieve their financial goals. Upon graduation he worked at First Commonwealth bank and passed the Certified Financial Planner™ Exam and the Life & Health Insurance exam.
Lee joined Morgan Stanley in 2021 and completed the Series 7 as well as the Series 66 exam and this led him to joining The ONE Columbus Group in 2023.
Lee is actively philanthropic with Special Olympics, and the Rotary Club of Westerville.
Securities Agent: IL, GA, VA, MI, KY, AL, OH, MD, NJ, MA, LA, TN, NC, KS, FL, CO, CA, WA, SC, ME, HI, TX, PA; General Securities Representative; Investment Advisor Representative
NMLS#: 2495667
NMLS#: 2495667
About Brenda Moore
Brenda has been with Morgan Stanley 19 plus years. She is a Certified Financial Planner™. Brenda graduated from Ohio Dominican University magna cum laude with a BS in Business Administration.
As a dedicated member of the firm, Brenda is committed to providing open communication and strives to create, develop, and maintain client relationships. Using her comprehensive knowledge of the industry, she creates individualized wealth management plans tailored to clients’ individual needs and objectives. In addition, she has earned her Series 7, 66, 31, and Life and Health Insurance licenses.
In her free time, Brenda enjoys being with her family, reading, and traveling.
As a dedicated member of the firm, Brenda is committed to providing open communication and strives to create, develop, and maintain client relationships. Using her comprehensive knowledge of the industry, she creates individualized wealth management plans tailored to clients’ individual needs and objectives. In addition, she has earned her Series 7, 66, 31, and Life and Health Insurance licenses.
In her free time, Brenda enjoys being with her family, reading, and traveling.
About Marilyn McCabe
Marilyn is a Registered Associate at Morgan Stanley. She provides individual client service and assists in the management of day-to-day business and administrative needs for The ONE Columbus Group at Morgan Stanley.
Marilyn is a graduate of The Ohio State University, where she earned a Bachelor’s Degree in Industrial and Systems Engineering. She joined The ONE Columbus Group at Morgan Stanley in March 2021.
Marilyn volunteers at various church programs and Food Rescue/Farmers to Families food distribution. When not at work, she enjoys reading and spending time with her husband and three adult children, as well as working crossword and jigsaw puzzles, and enjoying nature.
Marilyn is a graduate of The Ohio State University, where she earned a Bachelor’s Degree in Industrial and Systems Engineering. She joined The ONE Columbus Group at Morgan Stanley in March 2021.
Marilyn volunteers at various church programs and Food Rescue/Farmers to Families food distribution. When not at work, she enjoys reading and spending time with her husband and three adult children, as well as working crossword and jigsaw puzzles, and enjoying nature.
Contact Dean Schockling
Contact Rebecca Krutko
Contact Lee Schockling
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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
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Making sure your philanthropic dollars are managed with the same high quality service as the rest of your wealth.
- Endowments
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Ready to start a conversation? Contact The ONE Columbus 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 Wealth Management is the trade name of Morgan Stanley Smith Barney LLC, a registered broker-dealer in the United States.
2Morgan 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.
3When Morgan Stanley Smith Barney LLC, its affiliates and Morgan Stanley Financial Advisors and Private Wealth Advisors (collectively, “Morgan Stanley”) provide “investment advice” regarding a retirement or welfare benefit plan account, an individual retirement account or a Coverdell education savings account (“Retirement Account”), Morgan Stanley is a “fiduciary” as those terms are defined under the Employee Retirement Income Security Act of 1974, as amended (“ERISA”), and/or the Internal Revenue Code of 1986 (the “Code”), as applicable. When Morgan Stanley provides investment education, takes orders on an unsolicited basis or otherwise does not provide “investment advice”, Morgan Stanley will not be considered a “fiduciary” under ERISA and/or the Code. For more information regarding Morgan Stanley’s role with respect to a Retirement Account, please visit www.morganstanley.com/disclosures/dol. Tax laws are complex and subject to change. Morgan Stanley does not provide tax or legal advice. Individuals are encouraged to consult their tax and legal advisors (a) before establishing a Retirement Account, and (b) regarding any potential tax, ERISA and related consequences of any investments or other transactions made with respect to a Retirement Account. Individuals should consult their tax advisor for matters involving taxation and tax planning and their attorney for matters involving trust and estate planning, charitable giving, philanthropic planning and other legal matters.
4Morgan 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.
5Morgan 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.
6Morgan 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
7Structured Investments are complex and not appropriate for all investors. An investment in structured investments involves risks. These risks can include but are not limited to: fluctuations in the price, level or yield of underlying asset(s), interest rates, currency values and credit quality, substantial loss of principal, limits on participation in appreciation of underlying asset(s), limited liquidity, credit risk, and/or conflicts of interest. Many structured investments do not pay interest or guarantee a return above principal at maturity. Investors should read the security’s offering documentation prior to making an investment decision.
8Morgan 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.
9When Morgan Stanley Smith Barney LLC, its affiliates and Morgan Stanley Financial Advisors and Private Wealth Advisors (collectively, “Morgan Stanley”) provide “investment advice” regarding a retirement or welfare benefit plan account, an individual retirement account or a Coverdell education savings account (“Retirement Account”), Morgan Stanley is a “fiduciary” as those terms are defined under the Employee Retirement Income Security Act of 1974, as amended (“ERISA”), and/or the Internal Revenue Code of 1986 (the “Code”), as applicable. When Morgan Stanley provides investment education, takes orders on an unsolicited basis or otherwise does not provide “investment advice”, Morgan Stanley will not be considered a “fiduciary” under ERISA and/or the Code. For more information regarding Morgan Stanley’s role with respect to a Retirement Account, please visit www.morganstanley.com/disclosures/dol. Tax laws are complex and subject to change. Morgan Stanley does not provide tax or legal advice. Individuals are encouraged to consult their tax and legal advisors (a) before establishing a Retirement Account, and (b) regarding any potential tax, ERISA and related consequences of any investments or other transactions made with respect to a Retirement Account. Individuals should always check with their tax or legal advisor before engaging in any transaction involving 529 Plans, Education Savings Accounts and other tax-advantaged investments.
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 Wealth Management is the trade name of Morgan Stanley Smith Barney LLC, a registered broker-dealer in the United States.
2Morgan 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.
3When Morgan Stanley Smith Barney LLC, its affiliates and Morgan Stanley Financial Advisors and Private Wealth Advisors (collectively, “Morgan Stanley”) provide “investment advice” regarding a retirement or welfare benefit plan account, an individual retirement account or a Coverdell education savings account (“Retirement Account”), Morgan Stanley is a “fiduciary” as those terms are defined under the Employee Retirement Income Security Act of 1974, as amended (“ERISA”), and/or the Internal Revenue Code of 1986 (the “Code”), as applicable. When Morgan Stanley provides investment education, takes orders on an unsolicited basis or otherwise does not provide “investment advice”, Morgan Stanley will not be considered a “fiduciary” under ERISA and/or the Code. For more information regarding Morgan Stanley’s role with respect to a Retirement Account, please visit www.morganstanley.com/disclosures/dol. Tax laws are complex and subject to change. Morgan Stanley does not provide tax or legal advice. Individuals are encouraged to consult their tax and legal advisors (a) before establishing a Retirement Account, and (b) regarding any potential tax, ERISA and related consequences of any investments or other transactions made with respect to a Retirement Account. Individuals should consult their tax advisor for matters involving taxation and tax planning and their attorney for matters involving trust and estate planning, charitable giving, philanthropic planning and other legal matters.
4Morgan 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.
5Morgan 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.
6Morgan 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
7Structured Investments are complex and not appropriate for all investors. An investment in structured investments involves risks. These risks can include but are not limited to: fluctuations in the price, level or yield of underlying asset(s), interest rates, currency values and credit quality, substantial loss of principal, limits on participation in appreciation of underlying asset(s), limited liquidity, credit risk, and/or conflicts of interest. Many structured investments do not pay interest or guarantee a return above principal at maturity. Investors should read the security’s offering documentation prior to making an investment decision.
8Morgan 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.
9When Morgan Stanley Smith Barney LLC, its affiliates and Morgan Stanley Financial Advisors and Private Wealth Advisors (collectively, “Morgan Stanley”) provide “investment advice” regarding a retirement or welfare benefit plan account, an individual retirement account or a Coverdell education savings account (“Retirement Account”), Morgan Stanley is a “fiduciary” as those terms are defined under the Employee Retirement Income Security Act of 1974, as amended (“ERISA”), and/or the Internal Revenue Code of 1986 (the “Code”), as applicable. When Morgan Stanley provides investment education, takes orders on an unsolicited basis or otherwise does not provide “investment advice”, Morgan Stanley will not be considered a “fiduciary” under ERISA and/or the Code. For more information regarding Morgan Stanley’s role with respect to a Retirement Account, please visit www.morganstanley.com/disclosures/dol. Tax laws are complex and subject to change. Morgan Stanley does not provide tax or legal advice. Individuals are encouraged to consult their tax and legal advisors (a) before establishing a Retirement Account, and (b) regarding any potential tax, ERISA and related consequences of any investments or other transactions made with respect to a Retirement Account. Individuals should always check with their tax or legal advisor before engaging in any transaction involving 529 Plans, Education Savings Accounts and other tax-advantaged investments.
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
CRC 6491812 (04/2024)
