James A Rooney
Managing Director, Wealth Management, Financial Advisor, Senior Portfolio Management Director
Phone:
(860) 313-7126(860) 313-7126
The Rooney Swanson Group at Morgan Stanley
James A RooneyGeoffrey T Swanson, CFP®Lela BegovicThomas FruinRobert Smith, CLU®*Seth MoranAlbert InnarelliEgidio LepreMarissa Rivera
Direct:
(860) 313-7126(860) 313-7126
Industry Award WinnerOur Mission Statement
Excellence in helping clients like you with your personalized investment and financial strategies
Mission
The Rooney Swanson Group at Morgan Stanley exists to offer our clients and their families financial advice tailored to their individual needs, goals and objectives. We seek to offer high quality service and to become a trusted source of information regarding wealth management. We are committed to building long term relationships with our clients to help them achieve a secure financial future.
Check the background of Our Firm and Investment Professionals on FINRA's BrokerCheck.*
Working With You
While we understand that the performance of your investment portfolio is important, we place an equal amount of worth on the quality of our relationship. Here’s our commitment to you. We will:
♦ Seek to understand your family’s wealth management needs, goals and values.
♦ Commit to work with you for the long term.
♦ Build a relationship based on trust and honesty.
♦ Work hard to make your concerns our top priority.
♦ Treat you as an individual and important member of our clientele.
♦ Make ourselves available to meet with you and your family to discuss any matter that may affect your finances.
♦ Seek to understand your family’s wealth management needs, goals and values.
♦ Commit to work with you for the long term.
♦ Build a relationship based on trust and honesty.
♦ Work hard to make your concerns our top priority.
♦ Treat you as an individual and important member of our clientele.
♦ Make ourselves available to meet with you and your family to discuss any matter that may affect your finances.
Digital Tools
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Cybersecurity with Morgan Stanley Wealth Management
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Making the Most of Morgan Stanley
With Morgan Stanley Online and our mobile app, save time on your finances and spend time on what matters most
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Morgan Stanley Mobile App
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How to Enroll
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Enrolling in eAuthorizations
Watch video to learn how to enroll in eAuthorizations for secure authorizations and convenient transactions.
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Enrolling and Uploading to Digital Vault
Digital Vault provides easy access to store and share your financial documents in a secure way with your financial advisor team.
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Adding External Accounts with Total Wealth View
Learn how to add External Accounts with Total Wealth View
Learn how to add External Accounts with Total Wealth ViewThe Four Pillars of Wealth Management
Awards
These recognitions illustrate our commitment to deliver clients an unrivalled experience.
2024 Forbes' Best-In-State Wealth Management Teams | The Rooney Swanson Group
2024 Forbes' Best-In-State Wealth Advisors James Rooney
2024 Forbes' Best-In-State Wealth Advisors Geoffrey Swanson CFP®
2023 Forbes' Best-In-State Wealth Management Teams | The Rooney Swanson Group
2023 Forbes' Best-In-State Wealth Advisors James Rooney
2023 Forbes' Best-In-State Wealth Advisors Geoffrey Swanson CFP®
2022 Forbes' Best-In-State Wealth Advisors James Rooney
2022 Forbes' Best-In-State Wealth Advisors Geoffrey Swanson CFP®
2021 Forbes' Best-In-State Wealth Advisors James Rooney
2019 Forbes' Best-In-State Wealth Advisors Geoffrey Swanson CFP®
2019 Forbes' Best-In-State Wealth Advisors James Rooney
Location
433 South Main St.
Suite 100
West Hartford, CT 06110
US
Direct:
(860) 313-7126(860) 313-7126
Fax:
(860) 313-7272(860) 313-7272
Meet The Rooney Swanson Group
Geoffrey T Swanson, CFP®
Senior Vice President, Wealth Management, Financial Advisor, Senior Portfolio Management Director
Phone:
(860) 313-7121(860) 313-7121
Lela Begovic
Assistant Vice President, Group Director, Financial Planning Specialist
Phone:
(860) 313-7142(860) 313-7142
Thomas Fruin
Associate Vice President, Financial Advisor, Financial Planning Specialist
Phone:
(860) 313-7145(860) 313-7145
Robert Smith, CLU®*
Wealth Management Associate
Phone:
(860) 313-7190(860) 313-7190
Seth Moran
Portfolio Associate, Financial Planning Specialist
Phone:
(860) 313-7161(860) 313-7161
Albert Innarelli
Portfolio Associate, Financial Planning Specialist
Phone:
(860) 313-7162(860) 313-7162
Egidio Lepre
Financial Advisor
Phone:
(516) 683-3158(516) 683-3158
Marissa Rivera
Registered Client Service Associate
Phone:
(860) 313-7237(860) 313-7237
About James A Rooney
James has over 35 years of experience managing equity and fixed income accounts for individuals, trusts, foundations and non-profit organizations. Currently James holds the title of Senior Portfolio Management Director at Morgan Stanley. Before joining Morgan Stanley Wealth Management in 2000, James was a Senior Portfolio Manager at UBS Financial Services. Prior to working at UBS, he was a Financial Consultant at Merrill Lynch. James has a BA in Business Administration & Marketing from the New York Institute of Technology. He holds his FINRA Series 7, 63, 65, and 66 Licenses. He also holds his Life and Health Insurance Licenses. James and his wife now reside in Winter Garden Florida. Their four Sons are grown and pursuing their own careers in various parts of the country. He is active in his local church; is a board member of several non-profit organizations; enjoys golf and is fluent in ASL (American Sign Language).
NMLS#178127
Video-phone: 860-899-1567
NMLS#178127
Video-phone: 860-899-1567
Securities Agent: AZ, AL, DE, CO, VA, MA, TN, NV, NE, MO, IN, FL, NM, WY, VT, TX, MT, MN, DC, MS, KY, CA, NJ, ME, WI, RI, PA, OH, NH, MI, AK, UT, OR, IL, GA, WV, WA, SC, MD, CT, SD, NY, NC; General Securities Representative; Investment Advisor Representative
NMLS#: 178127
NMLS#: 178127
About Geoffrey T Swanson
Geoff has been with Morgan Stanley for over 20 years, joining the firm in 2002. Geoff is a CERTIFIED FINANCIAL PLANNER™ as well as holds the designation of Senior Portfolio Management Director. This CFP® designation is awarded to individuals who successfully complete the certification process instituted by the Certified Financial Planner Board of Standards Inc. Geoff earned a degree in Finance with a minor in Economics from Grove City College. Geoff holds his FINRA Series 7, 63, 65, and 66 Licenses. He also holds his Life and Health Insurance Licenses. Geoff, his wife and 5 children reside in Simsbury, CT. He serves on the board of directors for a number of local charitable organizations. Geoff is active in his local church, enjoys golfing and traveling with his family.
Securities Agent: PA, NM, WY, OH, ME, MN, IN, IL, CT, WI, NH, GA, WA, MI, MD, KY, CA, AZ, TX, MO, AK, AL, VT, UT, OR, MA, DE, SC, RI, NE, NC, MS, KS, CO, VA, NJ, NY, MT, FL, DC, WV, TN, SD, NV; General Securities Representative; Investment Advisor Representative
NMLS#: 178122
NMLS#: 178122
About Lela Begovic
Lela joined Morgan Stanley in 2004. Since being at the firm, she has earned the designation of Financial Planning Specialist. This designation is given to those who successfully complete Morgan Stanley Wealth Management’s advanced financial planning training program. Lela holds a Bachelor’s Degree in Finance from American University. She also holds her FINRA Series 7, 63 and 65 Licenses. She is fluent in Serbo-Croatian and German. Lela, her husband and two daughters reside in Unionville, CT. She enjoys traveling and spending time with friends and family.
Securities Agent: AL, NH, LA, KY, CA, NM, TX, UT, NY, NC, MN, KS, WV, VT, RI, NV, MI, AK, WY, WI, SC, MT, ME, CT, PA, TN, MO, IL, FL, DE, DC, WA, VA, OH, NJ, NE, MS, SD, OR, MD, CO, IN, GA, MA, AZ; General Securities Representative; Investment Advisor Representative
About Thomas Fruin
Tom joined Morgan Stanley in 2010. Since joining the firm he has participated in the Financial Advisor training program and became registered. He also completed the Portfolio Management Associate and Financial Planning Specialist internal certifications. Prior to joining Morgan Stanley, Tom spent 25 years in the Manufacturing Sector with two Fortune 500 Companies. His Finance Education outside of Morgan Stanley was done through Post University. Tom holds his FINRA Series 7 and 66 Licenses as well as his Life, Accident and Health Insurance Licenses. Tom and his wife have four grown children and two grandchildren and reside in Bristol, CT. He is active in his local church and enjoys spending time with family, is an avid music fan and computer enthusiast.
Securities Agent: WI, KY, NM, WV, MN, AL, VT, PA, MD, GA, FL, DC, CO, WY, UT, OR, NC, MT, ME, DE, AK, TX, RI, MI, CT, SC, NY, MS, MO, AZ, TN, IN, IL, VA, SD, OH, NV, NH, NE, CA, WA, MA, NJ; General Securities Representative; Investment Advisor Representative
About Robert Smith
Bob has over 30 years in the financial services industry. Before joining Morgan Stanley in 2016, Bob served as Regional Vice President of the Nationwide Insurance Company and Assistant Vice President of the Lincoln National Life Insurance Company. Bob holds his Chartered Life Underwriter designation, CLU®,* from The American College. He holds his FINRA Series 6, 7, 63, 66, and 26 Licenses. He also holds his Life, Accident & Health, Variable Life and Variable Annuities insurance licenses. Bob is married and has three adult children. He and his wife Laurie reside in Granby, CT. He is active in his local church; is an NYSCA certified youth coach; and enjoys boating, golf, playing guitar, chess, hiking, and spending time with his family and friends.
*This role cannot solicit or provide investment advice
*This role cannot solicit or provide investment advice
About Seth Moran
Seth joined the Rooney Swanson Group at Morgan Stanley in 2017, after graduating from Central Connecticut State University with a Bachelor’s Degree. Seth holds his FINRA Series 7 and 66 Licenses. He also holds his Life, Accident & Health insurance licenses He is also fluent in Spanish. Seth, his Wife and their Daughter live in Simsbury, CT. He is active in his local church, and enjoys hiking, kayaking, playing guitar, and traveling.
About Albert Innarelli
Albert started working at Morgan Stanley in 2017. He is a graduate of Fairfield University, earning a Bachelor’s Degree in finance and international business. Albert holds his FINRA Series 7 and 66 licenses. He also holds his Life, Accident & Health insurance licenses. Albert and his wife Nicole currently reside in Milford, CT. He is active in his local church, enjoys traveling, golfing, skiing, volunteering, and spending time with friends and family. He is also a lifelong ice hockey fan, and has enjoyed coaching youth hockey.
About Egidio Lepre
Egidio joined Morgan Stanley in 2018. Prior to joining Morgan Stanley Egidio spent 30 years Trading Commodities. He founded his own company where he was a floor trader and owner of a membership on the New York Board of Trade. Egidio holds the FINRA Series 7 and 66 Licenses as well as his Life, Accident and Health Insurance Licenses. Egidio and his wife Kerry have three grown children and reside in Hicksville, NY. He is an avid cooking enthusiast and spends much time golfing and cycling. He enjoys spending time with his family and travelling.
Securities Agent: NE, MT, MD, WY, NY, MO, CA, AK, AZ, WV, VA, UT, AL, VT, SC, ME, MA, FL, NM, DE, DC, TX, RI, MS, WI, PA, NJ, NH, KY, CO, WA, TN, SD, OH, NV, OR, NC, MN, MI, IN, IL, GA, CT; General Securities Representative; Investment Advisor Representative
About Marissa Rivera
Marissa joined Morgan Stanley in 2022 after graduating from St. Catherine University with a Master's Degree in Interpreting Studies and Communication Equity. Before joining Morgan Stanley, Marissa worked as an advocate at Disability Rights Connecticut, and served as a Treasurer for the Connecticut Registry of Interpreters for the Deaf. Marissa is registered in Connecticut as an American Sign Language Interpreter and passed the Massachusetts Interpreter Screening. She holds her FINRA Series 7 and 66 Licenses. Marissa is married and she and her husband are active in their local church; she enjoys trying out new restaurants, and spending time with her family and friends.
Video-phone: 860-899-1567
Video-phone: 860-899-1567
Contact James A Rooney
Contact Geoffrey T Swanson
Awards and Recognition
Forbes Best-In-State Wealth Management Teams
2020-2025 Forbes Best-In-State Wealth Management Teams Source: Forbes.com (Awarded 2020-2025). Data compiled by SHOOK Research LLC based on 12-month time period concluding in March of year prior to the issuance of the award.
Wealth Management
Global Investment Office
Portfolio Insights
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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
A Simple Six-Step Retirement Checkup
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Investing
Working closely with you to guide your wealth and investments through the most challenging market cycles.
- Asset Management
- Wealth Planning
- Traditional Investments
- Alternative Investments
- Impact Investing
Rational Investing in an Age of Uncertainty
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Family
Creating customized financial strategies for the challenges that today’s families face.
- Estate Planning Strategies
- 529 Plans / Education Savings Planning
- Long Term Care Insurance
- Special Needs Planning
- Trust Services
529 Plans: A Powerful Tool to Save for Education
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Business Planning
Helping you on key aspects of your business such as ownership, liquidity and developing opportunities.
- Succession Planning
- Business Planning
- Qualified Retirement Plans
Financial Planning for Life After Selling a Business
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Philanthropy
Making sure your philanthropic dollars are managed with the same high quality service as the rest of your wealth.
- Endowments
- Foundations
- Donor Advised Funds
- Impact Investing
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 Rooney Swanson Group today.
CFP Board owns the marks CFP®, CERTIFIED FINANCIAL PLANNER®, and CFP® (with plaque design) in the U.S., which it awards to individuals who successfully complete CFP Board's initial and ongoing certification requirements.
1Morgan 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.
For more information, please see the Morgan Stanley Smith Barney LLC Client Relationship Summary.
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.
Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors and Private Wealth Advisors do not provide tax or legal advice. Clients should consult their tax advisor for matters involving taxation and tax planning and their attorney for matters involving trust and estate planning, charitable giving, philanthropic planning and other legal matters.
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 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.
6Morgan 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.
Check the background of our Firm and Investment Professionals on FINRA's BrokerCheck*.
The information, products and services described here are intended only for individuals residing in states where this Financial Advisor is properly registered as described in this site.
Morgan Stanley reserves the right, to the extent permitted under applicable law, to retain and monitor all electronic communications. Morgan Stanley will not accept purchase or sale orders via any Internet site, social media site and/or its messaging systems. Morgan Stanley does not endorse and is not responsible and assumes no liability for content, products or services posted by third-parties on any Internet site, social media site and/or its messaging systems. All electronic communications are subject to terms available at the following link:
https://www.morganstanley.com/disclaimers/mswm-email.html. Any profiles and associated content are for U.S. residents only.
The securities/instruments, services, investments and investment strategies discussed in this material may not be appropriate for all investors. The appropriateness of a particular investment, investment strategy or service will depend on an investor's individual circumstances and objectives. Morgan Stanley Smith Barney LLC recommends that investors independently evaluate particular investments, strategies and services, and encourages investors to seek the advice of a Financial Advisor or Private Wealth Advisor. This material does not provide individually tailored investment advice. It has been prepared without regard to the individual financial circumstances and objectives of persons who receive it.
Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors or Private Wealth Advisors do not provide tax or legal advice. Individuals should consult their tax advisor for matters involving taxation and tax planning and their attorney for legal matters.
Morgan Stanley Smith Barney LLC (“Morgan Stanley”) is not implying an affiliation, sponsorship, endorsement with/of the third party or that any monitoring is being done by Morgan Stanley of any information contained within the website. Morgan Stanley is not responsible for the information contained on the third-party website or the use of or inability to use such site. Nor do we guarantee their accuracy or completeness.
The views, opinions or advice contained within third party websites or materials are solely those of the author, who is not a Morgan Stanley employee, and do not necessarily reflect those of Morgan Stanley Smith Barney LLC, or its affiliates. The strategies and/or investments referenced may not be appropriate for all investors as the appropriateness of a particular investment or strategy will depend on an investor's individual circumstances and objectives.
*References to length of service at Morgan Stanley include years at Morgan Stanley and predecessor firms.
CFP Board owns the marks CFP®, CERTIFIED FINANCIAL PLANNER®, and CFP® (with plaque design) in the U.S., which it awards to individuals who successfully complete CFP Board's initial and ongoing certification requirements.
The use of the CDFA designation does not permit the rendering of legal advice by Morgan Stanley or its Financial Advisors which may only be done by a licensed attorney. The CDFA designation is not intended to imply that either Morgan Stanley or its Financial Advisors are acting as experts in this field.
Awards Disclosures | Morgan Stanley
1Morgan 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.
For more information, please see the Morgan Stanley Smith Barney LLC Client Relationship Summary.
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.
Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors and Private Wealth Advisors do not provide tax or legal advice. Clients should consult their tax advisor for matters involving taxation and tax planning and their attorney for matters involving trust and estate planning, charitable giving, philanthropic planning and other legal matters.
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 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.
6Morgan 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.
Check the background of our Firm and Investment Professionals on FINRA's BrokerCheck*.
The information, products and services described here are intended only for individuals residing in states where this Financial Advisor is properly registered as described in this site.
Morgan Stanley reserves the right, to the extent permitted under applicable law, to retain and monitor all electronic communications. Morgan Stanley will not accept purchase or sale orders via any Internet site, social media site and/or its messaging systems. Morgan Stanley does not endorse and is not responsible and assumes no liability for content, products or services posted by third-parties on any Internet site, social media site and/or its messaging systems. All electronic communications are subject to terms available at the following link:
https://www.morganstanley.com/disclaimers/mswm-email.html. Any profiles and associated content are for U.S. residents only.
The securities/instruments, services, investments and investment strategies discussed in this material may not be appropriate for all investors. The appropriateness of a particular investment, investment strategy or service will depend on an investor's individual circumstances and objectives. Morgan Stanley Smith Barney LLC recommends that investors independently evaluate particular investments, strategies and services, and encourages investors to seek the advice of a Financial Advisor or Private Wealth Advisor. This material does not provide individually tailored investment advice. It has been prepared without regard to the individual financial circumstances and objectives of persons who receive it.
Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors or Private Wealth Advisors do not provide tax or legal advice. Individuals should consult their tax advisor for matters involving taxation and tax planning and their attorney for legal matters.
Morgan Stanley Smith Barney LLC (“Morgan Stanley”) is not implying an affiliation, sponsorship, endorsement with/of the third party or that any monitoring is being done by Morgan Stanley of any information contained within the website. Morgan Stanley is not responsible for the information contained on the third-party website or the use of or inability to use such site. Nor do we guarantee their accuracy or completeness.
The views, opinions or advice contained within third party websites or materials are solely those of the author, who is not a Morgan Stanley employee, and do not necessarily reflect those of Morgan Stanley Smith Barney LLC, or its affiliates. The strategies and/or investments referenced may not be appropriate for all investors as the appropriateness of a particular investment or strategy will depend on an investor's individual circumstances and objectives.
*References to length of service at Morgan Stanley include years at Morgan Stanley and predecessor firms.
CFP Board owns the marks CFP®, CERTIFIED FINANCIAL PLANNER®, and CFP® (with plaque design) in the U.S., which it awards to individuals who successfully complete CFP Board's initial and ongoing certification requirements.
The use of the CDFA designation does not permit the rendering of legal advice by Morgan Stanley or its Financial Advisors which may only be done by a licensed attorney. The CDFA designation is not intended to imply that either Morgan Stanley or its Financial Advisors are acting as experts in this field.
Awards Disclosures | Morgan Stanley
CRC 4665150 (8/2025)
