Mark T Curtis
Managing Director, Stock Plan Director, Financial Planning Specialist, Family Wealth Director, International Client Advisor, Investing with Impact Director
Phone:
(650) 496-4220(650) 496-4220
The Palo Alto Group at Morgan Stanley
(800) 367-4777(800) 367-4777
Our Mission Statement
The Palo Alto Group at Morgan Stanley is an experienced, well-established team of financial professionals. We provide a full suite of services to individuals, foundations and corporations.
Connecting You to Tools for Success
The Palo Alto Group helps organizations like yours maximize their institutional assets and employee financial benefits. Whether you are looking for a retirement plan, stock plan services, cash management consulting or a corporate financial wellness program for your employees, we have solutions for you.
Check the background of Our Firm and Investment Professionals on FINRA's BrokerCheck.*
Location
1400 Page Mill Road
Palo Alto, CA 94304
US
Direct:
(800) 367-4777(800) 367-4777
Meet The Palo Alto Group
Dan W. Murphy
Managing Director, Wealth Management, Stock Plan Director, Workplace Advisor - Equity Compensation, Financial Planning Specialist
Phone:
(650) 926-7643(650) 926-7643
Brian Penzel
Executive Director, Director of Business Strategy
Phone:
(650) 496-4276(650) 496-4276
Crispin Hanshaw, CEP®
Executive Director, Business Development Director
Phone:
(650) 496-4226(650) 496-4226
Alex Curtis
Executive Director, Financial Advisor
Phone:
(650) 496-3984(650) 496-3984
Daniel E. Roberts, CEP®
Executive Director, Business Development Director
Phone:
(810) 246-0632(810) 246-0632
Rich Baker, CEP®
Executive Director, Director of Business Strategy
Phone:
(646) 536-0477(646) 536-0477
Matthew Curtis
Senior Vice President, Financial Advisor
Phone:
(650) 496-4232(650) 496-4232
Daniel S. Brennan, CRPC
Business Development Director
Phone:
(480) 993-4955(480) 993-4955
Marco Nocero
Vice President, Business Development Director
Phone:
(650) 943-0498(650) 943-0498
Jon D. Schmidt
First Vice President, Business Development Associate
Phone:
(650) 856-4538(650) 856-4538
Rich Catipon
First Vice President, Business Development Director
Phone:
(650) 496-4243(650) 496-4243
Eric Lucero
Assistant Vice President, Business Development Associate
Phone:
(650) 358-7529(650) 358-7529
Sophia Szeto
Senior Client Service Associate
Phone:
(650) 856-4576(650) 856-4576
Bryan Carp
Assistant Vice President, Group Director
Phone:
(650) 926-7129(650) 926-7129
Lee Sundstrom
Assistant Vice President, Business Development Associate
Phone:
(650) 496-4238(650) 496-4238
Ashna Sharma
Vice President, Business Development Associate
Phone:
(650) 926-7116(650) 926-7116
Riley Tolles
Phone:
(650) 496-4293(650) 496-4293
Jason Barrett, CEP®
Business Development Associate
Phone:
(650) 496-3907(650) 496-3907
Elizabeth Kent-Levy
Vice President, Director of Business Strategy
Phone:
(650) 496-4221(650) 496-4221
About Mark T Curtis
Mark Curtis is a Managing Director - Investments & Wealth Management of Graystone Consulting, a division of Morgan Stanley (and its predecessor firms). His advisory business includes affluent investors, foundations, endowments and corporate services for public and private companies.
Mark has consistently been ranked by leading industry magazines, such as Barron’s Magazine, Registered Rep. Magazine, San Francisco Bizjournal, Financial Times and American Top Advisors. The most recent 2024 “Barron’s–Top 100 Financial Advisors Rankings” recognized him as the #1 advisor in America and also highlighted him as one of the “Stalwart 15” an exclusive award recognizing the 15 financial advisors appearing in every Barron’s top 100 ranking since the inception of the list in 2004.
Mark sits on the advisory boards of Riverwood Capital and previously, he served as co-chairman of Morgan Stanley’s Director Advisory Group and as president of the Association of Professional Investment Consultants (APIC).
He is a graduate of Stanford University with an MBA from UCLA.
Series 3, 7, 63 and 65 Licensed.
Barron's Top 100 Financial Advisors
Source: Barron's.com (Awarded Apr 2024) Data compiled by Barron's based on time period from Dec 2022 - Dec 2023
Mark has consistently been ranked by leading industry magazines, such as Barron’s Magazine, Registered Rep. Magazine, San Francisco Bizjournal, Financial Times and American Top Advisors. The most recent 2024 “Barron’s–Top 100 Financial Advisors Rankings” recognized him as the #1 advisor in America and also highlighted him as one of the “Stalwart 15” an exclusive award recognizing the 15 financial advisors appearing in every Barron’s top 100 ranking since the inception of the list in 2004.
Mark sits on the advisory boards of Riverwood Capital and previously, he served as co-chairman of Morgan Stanley’s Director Advisory Group and as president of the Association of Professional Investment Consultants (APIC).
He is a graduate of Stanford University with an MBA from UCLA.
Series 3, 7, 63 and 65 Licensed.
Barron's Top 100 Financial Advisors
Source: Barron's.com (Awarded Apr 2024) Data compiled by Barron's based on time period from Dec 2022 - Dec 2023
Securities Agent: VI, WV, NJ, TN, NC, MA, WY, OH, WI, WA, VT, VA, UT, TX, SD, SC, RI, PR, PA, OR, OK, NY, NV, NM, NH, NE, ND, MT, MS, MO, MN, MI, ME, MD, LA, KY, KS, IL, ID, IA, GA, FL, DE, DC, CT, CO, CA, AZ, AR, AL, AK, IN, HI; General Securities Representative; Investment Advisor Representative; Transactional Futures/Commodities; Managed Futures
NMLS#: 1261894
NMLS#: 1261894
About Dan W. Murphy
Dan joined Morgan Stanley in 2004 and focuses on developing and managing corporate sponsored executive financial services (EFS) and financial wellness relationships for pre-IPO and public companies. Dan’s corporate clients include many of the largest 10b5-1 programs in the country. Dan has more than 20 years of experience working with corporations and their C-suite and senior executives and has been named to the Barron’s Top 1,200 Financial Advisors List Ranked State by State in 2015 - 2025.
Dan holds a B.S. in Finance from the University of Arizona.
Disclosure
2015-2025 Barron's Top 1,200 Financial Advisors: State-by-State (formerly referred to as Barron's Top 1,000 Financial Advisors: State-by-State)
Source: Barrons.com (Awarded 2015 - 2025). Data compiled by Barron's based on 12-month period concluding in September of the year prior to the issuance of the award.
Dan holds a B.S. in Finance from the University of Arizona.
Disclosure
2015-2025 Barron's Top 1,200 Financial Advisors: State-by-State (formerly referred to as Barron's Top 1,000 Financial Advisors: State-by-State)
Source: Barrons.com (Awarded 2015 - 2025). Data compiled by Barron's based on 12-month period concluding in September of the year prior to the issuance of the award.
Securities Agent: VI, WY, WV, WI, WA, VT, VA, TX, TN, SD, RI, PR, PA, OK, OH, NY, NV, NM, NJ, NH, NE, ND, NC, MT, MS, MO, MN, MI, ME, MD, MA, LA, KY, KS, IN, IL, ID, IA, HI, OR, GA, FL, DE, SC, DC, CT, CO, UT, CA, AZ, AR, AL, AK; General Securities Representative; Investment Advisor Representative
About Brian Penzel
Brian is a member of The Palo Alto Group Corporate Services Team. The team works with Institutions to implement corporate cash programs, employee equity plans, qualified and nonqualified retirement plans for both public and private companies.
Brian joined Morgan Stanley in 2001. Brian joined as a result of an acquisition of AST StockPlans. AST StockPlans was an outsourced provider of equity administration programs where Brian managed their West Coast sales efforts. AST StockPlans was focused predominately on private companies transitioning to public. Brian currently serves as point of escalation for institutional relationships.
In addition to his responsibilities at Morgan Stanley, Brian is the current Board President of his local public school district. Prior to his service with the Moreland School District, Brian served 12 years on the Board of Goodwill until 2010 when he retired as Chairman Emeritus.
Brian holds a Bachelor’s degree in Finance from Tulane University. Upon graduation Brian was commissioned as an officer in the US Army and attended the United States Armor School in Fort Knox, Kentucky. He retired from the US Army Reserve in 2001 as a Captain.
He and his wife, Sarah live in Saratoga, CA with their 3 children, Kate, Lucy, and Benjamin.
Brian joined Morgan Stanley in 2001. Brian joined as a result of an acquisition of AST StockPlans. AST StockPlans was an outsourced provider of equity administration programs where Brian managed their West Coast sales efforts. AST StockPlans was focused predominately on private companies transitioning to public. Brian currently serves as point of escalation for institutional relationships.
In addition to his responsibilities at Morgan Stanley, Brian is the current Board President of his local public school district. Prior to his service with the Moreland School District, Brian served 12 years on the Board of Goodwill until 2010 when he retired as Chairman Emeritus.
Brian holds a Bachelor’s degree in Finance from Tulane University. Upon graduation Brian was commissioned as an officer in the US Army and attended the United States Armor School in Fort Knox, Kentucky. He retired from the US Army Reserve in 2001 as a Captain.
He and his wife, Sarah live in Saratoga, CA with their 3 children, Kate, Lucy, and Benjamin.
About Crispin Hanshaw
With nearly 25 years of equity compensation experience, Crispin Hanshaw leads the team’s sales efforts and supports clients in the implementation of executive services and financial wellness programs. Crispin has a proven track record of working with major corporations across a variety of industries, including prominent tech companies in Silicon Valley. He has also assisted numerous private companies on their growth paths, up to and including initial public offerings, and with a select clientele of venture capital firms, addressing their distribution needs. Working in close collaboration with the team’s Advisors, Crispin works to develop highly customized solutions based on the needs of each client and their employees.
Prior to joining the team in 2020, Crispin served as a Director of Corporate Sales at Charles Schwab and as National Sales Director for E•Trade Corporate Services. He received his B.A. in business economics from the University of California, Santa Barbara, and went on to earn the Certified Equity Professional (CEP) designation from the Leavey School of Business at Santa Clara University.
A native Texan, Crispin now makes his home in San Mateo, California, where he enjoys gardening, home improvement projects and spending time with his three daughters. He also enjoys getting out to art galleries, concerts, and sporting events around Northern California and beyond.
Prior to joining the team in 2020, Crispin served as a Director of Corporate Sales at Charles Schwab and as National Sales Director for E•Trade Corporate Services. He received his B.A. in business economics from the University of California, Santa Barbara, and went on to earn the Certified Equity Professional (CEP) designation from the Leavey School of Business at Santa Clara University.
A native Texan, Crispin now makes his home in San Mateo, California, where he enjoys gardening, home improvement projects and spending time with his three daughters. He also enjoys getting out to art galleries, concerts, and sporting events around Northern California and beyond.
About Alex Curtis
A member of The Curtis Group since 2015, Alex Curtis crafts highly customized wealth management solutions for high net worth individuals, institutional and corporate clients. Alex also supports marketing and strategic initiatives and co-runs a reinvestment business that stems from relationships with the team’s corporate clientele. This effort involves working with over 250 Financial Advisors and advisory teams across the country. Alex manages the team's relationship with Nasdaq Private Market, a joint initiative that provides wealth management education and services to employees and other participants in private company liquidity programs.
In 2021, Alex was named to the Morgan Stanley Pacesetter’s Club, a global recognition program for Financial Advisors who have demonstrated the highest professional standards and first-class client service early in their careers. He began his professional career at Addepar, a financial technology and reporting startup, after graduating from Claremont McKenna College with a B.A. in government.
Born and raised in Palo Alto, Alex is a third-generation Financial Advisor who takes pride in working alongside his father and brother. When not at work, he enjoys traveling, running, and trying out new restaurants.
In 2021, Alex was named to the Morgan Stanley Pacesetter’s Club, a global recognition program for Financial Advisors who have demonstrated the highest professional standards and first-class client service early in their careers. He began his professional career at Addepar, a financial technology and reporting startup, after graduating from Claremont McKenna College with a B.A. in government.
Born and raised in Palo Alto, Alex is a third-generation Financial Advisor who takes pride in working alongside his father and brother. When not at work, he enjoys traveling, running, and trying out new restaurants.
Securities Agent: MI, MO, TX, WA, PA, ND, MT, NY, SD, FL, VT, KY, KS, WI, WV, VA, WY, UT, LA, ME, VI, MD, TN, PR, SC, NH, OK, OH, NV, NM, NJ, NE, NC, RI, OR, MS, MN, IL, MA, ID, AK, IN, HI, DE, DC, IA, CT, CO, CA, AZ, GA, AR, AL; General Securities Representative; Investment Advisor Representative
CA Insurance License #: 4148463
CA Insurance License #: 4148463
About Daniel E. Roberts
With more than 25 years of institutional financial services experience, Dan Roberts helps major public and private companies implement customized financial programs, such as executive financial counseling, corporate cash management, employee stock plans, along with qualified and nonqualified retirement plans. Furthermore, working to develop a robust understanding of each corporate client’s employee objectives, Dan seeks to align Morgan Stanley’s solutions with participant engagement strategies to help drive their business outcomes.
Dan has worked in relationship management and institutional sales positions in the equity compensation industry throughout his career. Prior to his current position, he served as Executive Relationship Manager at Morgan Stanley and, earlier, a Senior Account Executive at E*TRADE. He began his career at Merrill Lynch in their Institutional (401(k)) and Equity Compensation Plan Service Center.
Dan earned a B.A. in Economics from Rutgers University. He is an active member of the National Association of Stock Plan Professionals (NASPP), previously serving as the President for the Michigan chapter. In addition, he is a Certified Equity Professional (CEP), & Six Sigma Green Belt.
Originally from New Jersey, and after spending several years in New York City, Dan now lives in Southeast Michigan with his wife, Mary, and their three children. He is a regular volunteer at Mt. Brighton Adaptive Sports, assisting those with cognitive and physical disabilities, and enjoys playing guitar and all types of live music.
Dan has worked in relationship management and institutional sales positions in the equity compensation industry throughout his career. Prior to his current position, he served as Executive Relationship Manager at Morgan Stanley and, earlier, a Senior Account Executive at E*TRADE. He began his career at Merrill Lynch in their Institutional (401(k)) and Equity Compensation Plan Service Center.
Dan earned a B.A. in Economics from Rutgers University. He is an active member of the National Association of Stock Plan Professionals (NASPP), previously serving as the President for the Michigan chapter. In addition, he is a Certified Equity Professional (CEP), & Six Sigma Green Belt.
Originally from New Jersey, and after spending several years in New York City, Dan now lives in Southeast Michigan with his wife, Mary, and their three children. He is a regular volunteer at Mt. Brighton Adaptive Sports, assisting those with cognitive and physical disabilities, and enjoys playing guitar and all types of live music.
About Rich Baker
A Morgan Stanley veteran of 15 years, Rich Baker has more than a decade of experience providing corporations and their executives with needed clarity on insider rules, insight into industry practices and services to access value in their equity. Previously head of Morgan Stanley’s market-leading Executive Financial Services 10b5-1 desk, Rich has a nuanced understanding of the securities regulations governing executive compensation and even engaged with SIFMA and the SEC on regulation changes to Rule 10b5-1, Rule 144, and the move to T+1 settlement.
As a Certified Equity Professional (CEP) and a member of the Curriculum Committee and the Corporate and Securities Law subcommittee of the CEP Institute, Rich helps set standards and design exams for the most widely recognized professional accreditation in equity compensation. He is also a board member of One Spirit, a nonprofit organization dedicated to poverty alleviation and economic development on the Pine Ridge Reservation in South Dakota. Rich regularly volunteers with the Community Food Bank of New Jersey and for SIFMA’s InvestWrite Competition.
Rich received a B.A. in liberal arts from Bard College at Simon’s Rock and went on to earn an MBA from the Lubin School of Business at Pace University, where he was named the Birnbaum Scholar.
As a Certified Equity Professional (CEP) and a member of the Curriculum Committee and the Corporate and Securities Law subcommittee of the CEP Institute, Rich helps set standards and design exams for the most widely recognized professional accreditation in equity compensation. He is also a board member of One Spirit, a nonprofit organization dedicated to poverty alleviation and economic development on the Pine Ridge Reservation in South Dakota. Rich regularly volunteers with the Community Food Bank of New Jersey and for SIFMA’s InvestWrite Competition.
Rich received a B.A. in liberal arts from Bard College at Simon’s Rock and went on to earn an MBA from the Lubin School of Business at Pace University, where he was named the Birnbaum Scholar.
About Matthew Curtis
Matthew Curtis brings over a decade of professional investing and wealth planning experience to the service of the team’s clients. Matthew works closely with high net worth families and individuals, corporations and institutions, crafting highly customized strategies to address their specific needs and goals.
Matthew received his B.A. from the University of California-Santa Barbara and went on to earn an MBA from the University of Southern California. Following a college internship with Graystone Consulting, Matthew joined Morgan Stanley in 2010 as an analyst for Morgan Stanley Venture Partners. He moved to the Wealth Management division in 2013.
Matthew received his B.A. from the University of California-Santa Barbara and went on to earn an MBA from the University of Southern California. Following a college internship with Graystone Consulting, Matthew joined Morgan Stanley in 2010 as an analyst for Morgan Stanley Venture Partners. He moved to the Wealth Management division in 2013.
Securities Agent: WY, WV, WA, VT, VI, VA, UT, TX, TN, SC, RI, PR, OR, OK, OH, NY, NV, NM, NJ, NH, NE, ND, NC, MT, MS, PA, MO, MN, MI, SD, ME, MD, MA, LA, KY, KS, IN, WI, IL, ID, IA, HI, GA, FL, DE, DC, CT, CO, CA, AZ, AR, AL, AK; General Securities Representative; Investment Advisor Representative
CA Insurance License #: 0L56165
CA Insurance License #: 0L56165
About Daniel S. Brennan
Daniel Brennan has over 14 years of experience as a financial service professional. During his career, he has been a financial advisor, has authored policy and procedure for multiple financial firms, and has cultivated relationships with many corporate clients. Having joined Morgan Stanley in 2021 as an Executive Relationship Manager, he moved into a strategic managerial role to broaden the service support that Morgan Stanley offers to corporate clients and their executives. He currently works to align Morgan Stanley solutions with the needs of corporate clients through close collaboration with stock plan issuers.
Daniel holds the Series 7,66, and 9/10. He is a member of the Phi Theta Kappa honors society holds a Chartered Retirement Planning Counselor designation. He has served on the boards of his local Boys & Girls Club and chamber of commerce. He’s worked with various nonprofits to support efforts to strengthen economic alliances, support homeless youth, and helped his local government establish a sister city partnership with Damyang, Korea.
Daniel lives in Arizona with his wife, Natalie, and his two children, Wyatt and Jean.
Daniel holds the Series 7,66, and 9/10. He is a member of the Phi Theta Kappa honors society holds a Chartered Retirement Planning Counselor designation. He has served on the boards of his local Boys & Girls Club and chamber of commerce. He’s worked with various nonprofits to support efforts to strengthen economic alliances, support homeless youth, and helped his local government establish a sister city partnership with Damyang, Korea.
Daniel lives in Arizona with his wife, Natalie, and his two children, Wyatt and Jean.
About Marco Nocero
Drawing on over a decade of experience in stock plan services and related fields, Marco Nocero works with public and private companies to implement corporate cash programs, employee equity plans, qualified and nonqualified retirement plans, as well as financial wellness programs. His primary focus is on helping each of the team’s clients customize and navigate Morgan Stanley’s extensive offering to address their specific needs and objectives.
Prior to joining the team in 2021, Marco held a series of increasingly responsible positions at Fidelity and Charles Schwab in their corporate sales and stock plan services groups. He earned his B.A. in communication studies from Northern Kentucky University.
Marco and his wife, Brandy, live in the Cincinnati suburbs with their three children, Gianni, Mia and Vittoria. In addition to spending time with his family, he enjoys rooting for his Cincinnati teams.
Prior to joining the team in 2021, Marco held a series of increasingly responsible positions at Fidelity and Charles Schwab in their corporate sales and stock plan services groups. He earned his B.A. in communication studies from Northern Kentucky University.
Marco and his wife, Brandy, live in the Cincinnati suburbs with their three children, Gianni, Mia and Vittoria. In addition to spending time with his family, he enjoys rooting for his Cincinnati teams.
About Jon D. Schmidt
Jon joined Morgan Stanley in 2016 as an Analyst in the Institutional Securities Group before joining The Palo Alto Group in 2017. He supports the team’s stock plan services business, helping clients navigate their needs with thoughtful execution and a focus on delivering a high-quality client experience. In this role, Jon works closely with the team’s internal and external partners to streamline communication, coordinate key client priorities, and ensure clients receive timely, well-organized support.
Jon is a Baltimore native and a graduate of Brown University, where he earned a B.A. in Economics. He and his wife, Jordin, live in Menlo Park, California.
Jon is a Baltimore native and a graduate of Brown University, where he earned a B.A. in Economics. He and his wife, Jordin, live in Menlo Park, California.
About Rich Catipon
Rich Catipon manages corporate financial planning and financial wellness programs for The Palo Alto Group at Morgan Stanley. In this role, he works with HR professionals to help develop comprehensive financial wellness programs that may include education, corporate stock planning, financial planning, tax planning, and estate planning.
Through these programs, he supports companies with implementation, employee adoption, ongoing management, and continued support. He also serves as a liaison between corporate professionals and Morgan Stanley Financial Advisors. In addition, Rich works with corporate stock plan administrators and HR professionals to implement financial education and one-on-one consultation strategies for employees.
Rich is also a Financial Planning Specialist, and he is committed to a planning-first approach for clients. He helps deliver personalized financial plans, works with clients to determine their financial goals, and provides strategies designed to help them pursue those goals during complex financial markets.
Prior to joining Morgan Stanley in 2012, Rich spent more than 10 years in the technology industry as a Senior Sales Representative and Account Manager, as well as managing call center services. He has received the Financial Planning Specialist designation and holds Series 7 and Series 66 registrations.
Outside of work, Rich enjoys spending time with his son, coaching and attending his sporting events and activities, traveling, and outdoor activities, including mountain biking.
Through these programs, he supports companies with implementation, employee adoption, ongoing management, and continued support. He also serves as a liaison between corporate professionals and Morgan Stanley Financial Advisors. In addition, Rich works with corporate stock plan administrators and HR professionals to implement financial education and one-on-one consultation strategies for employees.
Rich is also a Financial Planning Specialist, and he is committed to a planning-first approach for clients. He helps deliver personalized financial plans, works with clients to determine their financial goals, and provides strategies designed to help them pursue those goals during complex financial markets.
Prior to joining Morgan Stanley in 2012, Rich spent more than 10 years in the technology industry as a Senior Sales Representative and Account Manager, as well as managing call center services. He has received the Financial Planning Specialist designation and holds Series 7 and Series 66 registrations.
Outside of work, Rich enjoys spending time with his son, coaching and attending his sporting events and activities, traveling, and outdoor activities, including mountain biking.
Securities Agent: MO, AK, TX, NY, MI, AR, TN, HI, CT, RI, PR, OK, MN, VT, SD, PA, ND, NC, MS, GA, DE, AZ, WY, SC, OH, IA, DC, CO, WI, MA, IN, WV, VA, UT, NJ, NE, KY, FL, WA, VI, OR, NV, NM, NH, MT, MD, IL, CA, AL, ME, LA, KS, ID; General Securities Representative; Investment Advisor Representative
About Eric Lucero
A stock plan services professional for six years, Eric Lucero brings an analytical perspective to the team’s institutional clients. Working in a spirit of partnership with his colleagues and clients, Eric works to ensure that proper protocols are followed, and key metrics are tracked. He seeks to turn data into actionable intelligence to help team and clients optimize plans over time.
Prior to joining the team in 2021, Eric spent four years as a Data Analytics and Reporting Associate at Fisher Investments. He earned his B.B.A. from San Francisco State University.
Eric and his wife live with their two dogs in the Bay Area, where they enjoy spending time with family and friends.
Prior to joining the team in 2021, Eric spent four years as a Data Analytics and Reporting Associate at Fisher Investments. He earned his B.B.A. from San Francisco State University.
Eric and his wife live with their two dogs in the Bay Area, where they enjoy spending time with family and friends.
About Sophia Szeto
A member of The Palo Alto Group for four years, Sophia Szeto contributes to an outstanding overall service experience for the team’s clients. Sophia is responsible for a broad range of operational and administrative support activities—from the coordination of events and schedules to helping partners access stock plan systems.
Prior to joining Morgan Stanley, Sophia worked as a Licensed Sales Representative for Allstate Insurance, and as a Loan Representative at World Savings. She earned her B.A. from the University of California, Davis.
Outside of work, Sophia volunteers at her daughter’s school and her young Asian basketball league. She enjoys cooking and spending time with her family, particularly at the beach.
Prior to joining Morgan Stanley, Sophia worked as a Licensed Sales Representative for Allstate Insurance, and as a Loan Representative at World Savings. She earned her B.A. from the University of California, Davis.
Outside of work, Sophia volunteers at her daughter’s school and her young Asian basketball league. She enjoys cooking and spending time with her family, particularly at the beach.
About Bryan Carp
As Group Director for The Palo Alto Corporate Executive Services team, Bryan Carp oversees the optimization and standardization of processes and continuity across the team’s book of business. Among his many responsibilities, Bryan offers solutions to ad hoc client requests, handling escalations, and ensuring that our team is scaled appropriately for new business coming through the pipeline. His goal is to ensure realistic expectations for both corporate and individual clients, improving their by providing consistent above-and-beyond service.
Bryan joined Morgan Stanley in 2017 and transitioned to Corporation Executive Services the following year. He had previously worked as the Operations Manager for the Arrowhead Auto Group, a position he held for six years prior to enrolling at San Francisco State University, where he graduated with a B.S. in business administration.
Raised in Southern California, Bryan and his wife now live in Lincoln, California, with their two children. Outside of work, he enjoys snowboarding, kayaking, hiking and spending time with his extended family. He is currently studying Spanish to keep up with his Spanish-speaking wife and in-laws.
Bryan joined Morgan Stanley in 2017 and transitioned to Corporation Executive Services the following year. He had previously worked as the Operations Manager for the Arrowhead Auto Group, a position he held for six years prior to enrolling at San Francisco State University, where he graduated with a B.S. in business administration.
Raised in Southern California, Bryan and his wife now live in Lincoln, California, with their two children. Outside of work, he enjoys snowboarding, kayaking, hiking and spending time with his extended family. He is currently studying Spanish to keep up with his Spanish-speaking wife and in-laws.
About Lee Sundstrom
Drawing on the network and knowledge he has built over the course of his 10-year tenure at The Palo Alto Group, Lee Sundstrom delivers creative solutions to address the specific goals of the team’s corporate and private clients. Lee excels at handling unique challenges, bringing together the right combination of Morgan Stanley capabilities and expertise to craft solutions.
Lee joined Morgan Stanley after graduation from the University of California, San Diego, with a B.A. in economics and a minor in accounting.
Lee was born in the Bay Area but lived in Canada and Hong Kong before settling with his family in Sunnyvale, California. He spends his free time with his two sons, and working on home and garden projects.
Lee joined Morgan Stanley after graduation from the University of California, San Diego, with a B.A. in economics and a minor in accounting.
Lee was born in the Bay Area but lived in Canada and Hong Kong before settling with his family in Sunnyvale, California. He spends his free time with his two sons, and working on home and garden projects.
About Ashna Sharma
Drawing on more than 15 years of diverse financial industry experience, Ashna Sharma supports the team’s advisors in delivering corporate stock plan 10b5-1 programs. As a member of The Palo Alto Group PACES Team, Ashna’s primary focus is on managing relationships with our corporate clients and working with our financial advisor partners and Executive Financial Services Team to ensure the needs of our corporate clients are met. Her many responsibilities include providing 10b5-1 to financial advisors and team members, managing 10b5-1 adoptions and plan reviews, managing transfers and trading for executives, and Section 16 Form 4 reporting.
Ashna began her career at Wells Fargo Bank, where she spent eight years and was promoted to Service Manager. She joined our team at Morgan Stanley in 2016 as a Client Service Associate and rose to her current position in 2021.
A Bay Area native, Ashna speaks Hindi as well as English. In her free time, she enjoys hiking traveling and spending time with family and friends.
Ashna began her career at Wells Fargo Bank, where she spent eight years and was promoted to Service Manager. She joined our team at Morgan Stanley in 2016 as a Client Service Associate and rose to her current position in 2021.
A Bay Area native, Ashna speaks Hindi as well as English. In her free time, she enjoys hiking traveling and spending time with family and friends.
About Riley Tolles
Starting in May of 2024, Riley Tolles joined The Palo Alto Group PACES Team as a Client Relationship Analyst, where she assists in the creation and execution of 10b5-1 trading plans. Her responsibilities include engaging in the operational implementation of these corporate stock plans along with enhancing our corporate client relationships.
Prior to joining Morgan Stanley, Riley graduated from Cal Poly, San Luis Obispo with a B.S. in finance and accounting. During her time there, she gained diverse experience through internships in business banking, accounting, and commercial real estate development.
Before moving to the Bay Area, Riley was born and raised in Reno, Nevada, where she came to love hiking, skiing, and cooking.
Prior to joining Morgan Stanley, Riley graduated from Cal Poly, San Luis Obispo with a B.S. in finance and accounting. During her time there, she gained diverse experience through internships in business banking, accounting, and commercial real estate development.
Before moving to the Bay Area, Riley was born and raised in Reno, Nevada, where she came to love hiking, skiing, and cooking.
About Jason Barrett
Jason Barrett is a finance professional with extensive experience in equity compensation and brokerage services. A Georgia native, he earned a Bachelor’s degree in Finance from the University of Georgia’s Terry College of Business.
Jason began his career at E*TRADE, where he obtained his FINRA Series 7 & 63 licenses and worked as an advisor. For the past seven years, he has specialized in equity compensation, with the last four years dedicated to administering and managing 10b5-1 trading plans. During this time, he also earned the Certified Equity Professional (CEP) designation, further strengthening his expertise in stock plan administration and regulatory compliance.
Jason currently resides in Woodstock, Georgia, with his wife. Outside of work, he enjoys attending UGA football games, traveling, and exploring the outdoors.
Jason began his career at E*TRADE, where he obtained his FINRA Series 7 & 63 licenses and worked as an advisor. For the past seven years, he has specialized in equity compensation, with the last four years dedicated to administering and managing 10b5-1 trading plans. During this time, he also earned the Certified Equity Professional (CEP) designation, further strengthening his expertise in stock plan administration and regulatory compliance.
Jason currently resides in Woodstock, Georgia, with his wife. Outside of work, he enjoys attending UGA football games, traveling, and exploring the outdoors.
About Elizabeth Kent-Levy
Elizabeth Kent-Levy has nearly three decades of experience as a financial advisor and senior client service professional, all focused on the needs of ultra high net worth clients. Elizabeth plays a key role in the team’s business operations, supporting the delivery of Morgan Stanley’s wealth management capabilities, solutions and resources a select clientele of Silicon Valley entrepreneurs, corporate executives and their families.
Elizabeth began her career with Morgan Stanley in 1995 and rose to her current position in 2023. She had previously worked with teams in Houston, Los Angeles, Hartford and Menlo Park, California. Earlier in her career, Elizabeth and her husband built a successful financial advisory practice. She transitioned to a support professional role when they had children. Elizabeth has enjoyed the client service side of the business and continues to focus on delivering an excellent standard of care, and outstanding and responsive service.
Elizabeth began her career with Morgan Stanley in 1995 and rose to her current position in 2023. She had previously worked with teams in Houston, Los Angeles, Hartford and Menlo Park, California. Earlier in her career, Elizabeth and her husband built a successful financial advisory practice. She transitioned to a support professional role when they had children. Elizabeth has enjoyed the client service side of the business and continues to focus on delivering an excellent standard of care, and outstanding and responsive service.
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Investing
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529 Plans: A Powerful Tool to Save for Education
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A Simple Six-Step Retirement Checkup
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Financial Planning for Life After Selling a Business
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Enhancing Financial Wellness enables your workforce to do their best work. Companies that invest in financial wellness have an opportunity to:
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- Set themselves apart by offering comprehensive financial wellness benefits.
Retirement for Plan Sponsors
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We can provide the tools and guidance to help you manage a retirement plan.
We can provide the tools and guidance to help you manage a retirement plan.
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1Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors or 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 legal matters.
For more information, please see the Morgan Stanley Smith Barney LLC Client Relationship Summary.
2When 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.
3Morgan 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
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.
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 Center for Financial Planning, Inc. owns and licenses the certification marks CFP®, CERTIFIED FINANCIAL PLANNER®, and CFP® (with plaque design) in the United States to Certified Financial Planner Board of Standards, Inc., which authorizes individuals who successfully complete the organization's initial and ongoing certification requirements to use the certification marks.
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.
2When 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.
3Morgan 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
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.
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 Center for Financial Planning, Inc. owns and licenses the certification marks CFP®, CERTIFIED FINANCIAL PLANNER®, and CFP® (with plaque design) in the United States to Certified Financial Planner Board of Standards, Inc., which authorizes individuals who successfully complete the organization's initial and ongoing certification requirements to use the certification marks.
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)
