Smalley Berman Vision

The Smalley Berman Group places high value on relationships. Affluent families require a sophisticated comprehensive wealth management strategy. This requires the knowledge and resources only provided through a team of experienced Financial Advisors. The Smalley Berman Group has over 70 years of combined experience in servicing high net worth clients. As one of Puget Sound’s preeminent wealth planning teams, we are qualified to address the multi-faceted needs of affluent families, small businesses and foundations.

Our role at The Smalley Berman Group is to help you use your wealth to achieve what is most important to you. That may mean providing an education to children and grandchildren, buying a vacation home, meeting the special needs of a family member, retiring ten years early — the list is endless, and the decision is uniquely your own.

Together, we will explore your aspirations and the life you envision. We will work with you to translate your goals into a specific investment objective and personalized investment strategy. And then, drawing on the team’s experience and perspective informed by the insight and resources of one of the world’s largest financial firms, we will structure a portfolio for you, executing and refining that strategy to help bring you closer to your definition of investment success.

In short, your goals become our focus, and achieving them becomes a commitment that we share.
Services Include
  • 401(k) Rollovers
  • Asset Management1
  • Cash Management2
  • Corporate Retirement Plans3
  • Endowments and Foundations4
  • Estate Planning Strategies5
  • Exchange Traded Funds6
  • Financial Planning7
  • Fixed Income8
  • Municipal Bonds9
  • Professional Portfolio Management10
Check the background of Our Firm and Investment Professionals on FINRA's BrokerCheck.*

Location

2727 Hollycroft
Suite 330
Gig Harbor, WA 98335
US
Direct:
(253) 858-4401(253) 858-4401
Toll-Free:
(800) 714-7989(800) 714-7989
Fax:
(253) 858-4499(253) 858-4499

Meet The Smalley Berman Group

Photo of James Smalley

James Smalley

Senior Vice President, Financial Advisor, Senior Investment Management Consultant

Phone:
(253) 858-1221(253) 858-1221

About Me

Peter joined Morgan Stanley in 1992 with a vision to improve the way clients were served in the wealth management world. Focusing on helping clients achieve their retirement goals through pre-retirement planning, retirement preservation and estate planning strategies, Peter’s many years of experience, personable manner and technological savvy have helped build the Smalley Berman Group into a thriving, referral-based practice, spanning more than 25 years in the business.

Peter’s dedication to the firm and his clients extends to his belief in the value of donating to local charities. He encourages and helps organize the Gig Harbor offices efforts to support local charitable causes through quarterly and annual campaigns.

An avid percussionist and drummer since the age of 11 and a lifelong resident of Gig Harbor, Peter has combined his musical talents with his loyalty to his hometown by performing for numerous local charitable events over the years. He is a graduate of the University of Washington and is a member of the Morgan Stanley Masters Council, which recognizes the top-performing financial advisors for excellence in client services nationwide.
Securities Agent: WA, WI, VA, UT, TX, SD, SC, RI, PR, OR, OH, NY, NV, NM, NE, ND, NC, MT, MS, MN, MI, MD, MA, IN, IL, ID, HI, GA, FL, CT, CO, CA, AZ, AR, AL, AK; Managed Futures; General Securities Representative; BM/Supervisor; Investment Advisor Representative
NMLS#: 1253036

About Me

Since 1990, Jim Smalley has worked with clients to help build their retirement wealth and to meet their financial goals. Jim focuses on advising clients based on the core tenets of integrity, honesty and dependability to provide a truly individualized financial plan for each and every client. Jim’s interest in providing thoughtful guidance for others extends well beyond his financial practice. He serves on numerous boards, including the Franciscan Health System. He is the Secretary/Treasurer and past-chair of Harrison Medical Center and the Vice Chair for SightLife, the largest corneal eye bank in the world, which includes clinics in the U.S. and India. He has served as a board member for the Harbor History Museum in Gig Harbor, and has been awarded Life Director status with the Home Builders Association of Kitsap County. Jim is a lifelong believer in the value of giving back as is evidenced when he was awarded the Gold Presidential Volunteer Award by Morgan Stanley for donating over 500 hours of service to his community. 

In addition, in his personal time, Jim brings his high attention to detail to the restoration of classic cars, in particular Austin Healeys, of which he is a national expert. He has shown at the Pebble Beach Concours d’Elegance and has loaned cars to the LeMay Museum in Tacoma since its opening in 2012.

Jim received his BA and BFA degrees from the Brooks Institute in California and studied economics at the University of Puget Sound. He is a member of Morgan Stanley’s Masters Council, a company-wide recognition program for the firm’s top financial advisors nationwide. Jim lives with his family in Gig Harbor.
Securities Agent: WA, VA, TX, RI, OR, OK, NY, NM, NC, MT, MN, MI, MD, IN, ID, HI, GA, FL, CT, CO, CA, AZ, AL, AK; Managed Futures; Transactional Futures/Commodities; General Securities Representative; Investment Advisor Representative
NMLS#: 1285172

About Me

Joe brings over 20 years of industry experience to the team. He has built his business through dedicated service as a trusted advisor, helping clients create and preserve wealth through a variety of financial services tailored to their needs. His primary focus is on the implementation and maintenance of investment strategies for clients. Joe started his career as a financial advisor in 1993 with Murphey Favre Inc, a subsidiary of Washington Mutual. He joined Morgan Stanley in 1998, earning the title of First Vice President.  Joe is an advocate for giving back to his community and has been a longtime supporter of Northwest Harvest.  He is an avid sports fan, and when he is not cheering on the Seahawks, he enjoys coaching youth sports and spending time with his family. He resides with his family in University Place.
Securities Agent: WA, VA, TX, RI, OR, NY, NM, NC, MT, MN, MI, MD, IN, ID, HI, FL, CT, CO, CA, AZ, AR, AL, AK; Managed Futures; General Securities Representative; Investment Advisor Representative
NMLS#: 1347306

About Me

Maira's lengthy financial history with Morgan Stanley began in 1994.  She started in operations and joined the Smalley Berman team in 2004. Throughout her years, she has developed and maintained a strong client support structure that has enabled the team to successfully manage their large number of managed assets. She manages the daily, multi-faceted account activities and provides detailed account management support for all clients of the Smalley Berman Group.

 Maira has her Series 7 and 63 securities licenses. Maira dedicates her spare time to hand-making quilts for the Morgan Stanley "Blankets of Love" campaign, which are donated to victims of domestic violence. Maira enjoys scrapbooking and custom card making. She and her family live in the Port Orchard area.

About Me

A longtime member of the financial industry, Karin has worked for Morgan Stanley since 1989. As a Senior Registered Associate, she assists with day-to-day client support of the team’s many clients, in addition to managing the contact management system to ensure the team runs smoothly. Due to Karin’s knowledge of technology, the Smalley Berman Group is able to maintain a high level of communication with their clients. Karin is both an NYSE/NASD Series 7 Registered Representative and a Series 63 General Securities Representative and has a Bachelor’s degree in Education from Pacific Lutheran University. Her philanthropic interests include managing the Morgan Stanley Quarterly Campaign called “Jeans for a Cause”, which encourages employees to donate to local charities, where her success rate overseeing the program is 100%. She also donates her spare time to Empowering Life, a non-profit group that raises funds for women’s prison ministry and is a member of her church’s bell choir. 
From Our Team

Smalley Berman Brochure Website 2017


Investment and Market Perspectives

On the Markets

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
The Simple Six-Step Retirement Checkup

The Simple Six-Step Retirement Checkup

Given market volatility in 2018, checking in on your retirement plan may be one of the wisest New Year’s resolutions you can make.

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
Five Smart Strategies to Use a Bonus or Raise

Five Smart Strategies to Use a Bonus or Raise

Have extra money coming in? Here are ways to put your money to work for you now, so you can reap the rewards down the road.

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
Financial Transition: A Guide for Women

Financial Transition: A Guide for Women

Here's how to take control of your finances if a death or divorce leaves you holding the reins.

Business Planning

Helping you on key aspects of your business such as ownership, liquidity and developing opportunities.
  • Succession Planning
  • Business Planning
  • Retirement Plan Sponsors
  • Qualified Retirement Plans
  • Corporate Pension Funds
6 Keys to Building a Startup

6 Keys to Building a Startup

Entrepreneurs share ideas and learnings from the experience of starting a company.

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
A New Roadmap for Mission Alignment

A New Roadmap for Mission Alignment

Non-profits, foundations and endowments need to ensure that their sources of capital are in sync with their stated goals.

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Consolidate Your Cash at a Competitive Rate

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2.30% APY with Preferred Savings for New Money deposited through your eligible Morgan Stanley brokerage account. Contact me to learn more or click here. Terms apply.
Learn more about Consolidate Your Cash at a Competitive Rate
Morgan Stanley and Justin Rose: A Winning Team

Morgan Stanley and Justin Rose: A Winning Team

Morgan Stanley and our brand ambassador, PGA TOUR champion Justin Rose, share a set of core values and a common cause: giving books to children in need.
Learn more about Morgan Stanley and Justin Rose: A Winning Team
Your Financial World. On the Go.

Your Financial World. On the Go.

With the Morgan Stanley Mobile App, you’ll have the freedom to manage your investments and instantly access a suite of personal cash management tools.
Learn more about Your Financial World. On the Go.
Reserved | Living & Giving

Reserved | Living & Giving

Our complimentary program for eligible clients provides you and your family with access to exclusive offers and discounts from premium travel, automotive, health and wellness, and retail brands as well as curated insights from Morgan Stanley.
Learn more about Reserved | Living & Giving
Sign Up for eDelivery

Sign Up for eDelivery

With eDelivery, you’ll have easy access to statements, trade confirmations, general correspondence and much more.
Learn more about Sign Up for eDelivery
Access Morgan Stanley Online

Access Morgan Stanley Online

Morgan Stanley Online provides a comprehensive view of your assets and liabilities, projected income, breaking news, research and much more.
Learn more about Access Morgan Stanley Online
Ready to start a conversation? Contact The Smalley Berman Group today.
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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.

2Morgan 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

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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, charitable giving, philanthropic planning and other legal matters.

5Morgan 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.

6An investment in an exchange-traded fund involves risks similar to those of investing in a broadly based portfolio of equity securities traded on exchange in the relevant securities market, such as market fluctuations caused by such factors as economic and political developments, changes in interest rates and perceived trends in stock prices. The investment return and principal value of ETF investments will fluctuate, so that an investor's ETF shares, if or when sold, may be worth more or less than the original cost.

7Morgan 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.

8Fixed Income investing entails credit risks and interest rate risks. When interest rates rise, bond prices generally fall.

9Income generated from an investment in a municipal bond is generally exempt from federal income taxes. Some income may be subject to state and local taxes and to the federal alternative minimum tax. Capital gains, if any, are subject to tax.

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