James Svigos
Executive Director, Financial Advisor, Family Wealth Director, Senior Portfolio Management Director
Phone:
(312) 419-3476(312) 419-3476
The Svigos Gray Wealth Management Group at Morgan Stanley
Our Mission Statement
Family. Accountability. Tenacity. While every one of our clients is unique, they all place immense importance in those three values. So do we.
Our Story and Services
When you look at the trajectory of a person’s financial life – working, saving, and investing – you’ll see that it closely resembles a mountain. The ascent is your career, and with hard work and focus, you climb. Then one day, after navigating the terrain with a sound retirement plan, you finally reach the summit: the day that you retire. It’s a huge accomplishment. But what many people overlook is that the climb is only a portion of the journey. Then comes the last leg – retirement – which can be even more challenging than the ascent, and where retirement income planning becomes critical.
Built on Trust:
As your personal wealth management team, we’re here to help protect you from risk, not shield you from hard truths. That’s why we “get real” right away, from our very first discovery meeting, and we don’t babble in “corporate speak.” The families we work with appreciate that authenticity. They trust us to always tell them what they need to hear, even if it’s not always what they want to hear. They know that we continuously keep their best interests at the forefront of our practice.
A Tireless Work Ethic:
Our mission is to help you reach yours, and we’re dogged in pursuit of that objective. Day in and day out, we strive to be the hardest working advisory team in the business. As former college athletes, it’s the way we’ve always operated. It’s the way we’ll always be. It’s why we’ve been recognized as a Forbes Best-In-State Wealth Management Team from 2023 through 2025, Forbes Best-In-State Wealth Advisor from 2022 through 2024* and Forbes Top Next Gen Wealth Advisor year after year, including 2018*, 2020*, 2021* and 2024*.
For This Generation and the Next:
For us, accountability is multigenerational. When we take you on as a new client, you join our family and are treated as such. Each member of our team makes a lifelong commitment to you, your children, and even your grandchildren.
To talk about your goals, please call us at (312) 419-3440.
*Awarded to James Svigos
2023, 2024, 2025 Forbes Best-In-State Wealth Management Teams
Source: Forbes.com (Awarded Jan 2023, 2024, 2025) Data compiled by SHOOK Research LLC based 12-month time period concluding in March of year prior to the issuance of the award.
2022, 2023, 2024 Forbes Best-In-State Wealth Advisors
Source: Forbes.com (Awarded 2022, 2023, 2024). Data compiled by SHOOK Research LLC based 12-month time period concluding in June of year prior to the issuance of the award.
2018, 2020, 2021, 2024 Forbes America’s Top Next-Gen Wealth Advisors & Top Next-Gen Wealth Advisors Best-in-State (formerly referred to as Forbes America's Top Next-Gen Wealth Advisors, Forbes Top 1,000 Next-Gen Wealth Advisors, Forbes Top 500 Next Generation Wealth Advisors)
Source: Forbes.com (Awarded 2018, 2020, 2021, 2024). Data compiled by SHOOK Research LLC based on 12-month period concluding in Mar of the year the award was issued.
Built on Trust:
As your personal wealth management team, we’re here to help protect you from risk, not shield you from hard truths. That’s why we “get real” right away, from our very first discovery meeting, and we don’t babble in “corporate speak.” The families we work with appreciate that authenticity. They trust us to always tell them what they need to hear, even if it’s not always what they want to hear. They know that we continuously keep their best interests at the forefront of our practice.
A Tireless Work Ethic:
Our mission is to help you reach yours, and we’re dogged in pursuit of that objective. Day in and day out, we strive to be the hardest working advisory team in the business. As former college athletes, it’s the way we’ve always operated. It’s the way we’ll always be. It’s why we’ve been recognized as a Forbes Best-In-State Wealth Management Team from 2023 through 2025, Forbes Best-In-State Wealth Advisor from 2022 through 2024* and Forbes Top Next Gen Wealth Advisor year after year, including 2018*, 2020*, 2021* and 2024*.
For This Generation and the Next:
For us, accountability is multigenerational. When we take you on as a new client, you join our family and are treated as such. Each member of our team makes a lifelong commitment to you, your children, and even your grandchildren.
To talk about your goals, please call us at (312) 419-3440.
*Awarded to James Svigos
2023, 2024, 2025 Forbes Best-In-State Wealth Management Teams
Source: Forbes.com (Awarded Jan 2023, 2024, 2025) Data compiled by SHOOK Research LLC based 12-month time period concluding in March of year prior to the issuance of the award.
2022, 2023, 2024 Forbes Best-In-State Wealth Advisors
Source: Forbes.com (Awarded 2022, 2023, 2024). Data compiled by SHOOK Research LLC based 12-month time period concluding in June of year prior to the issuance of the award.
2018, 2020, 2021, 2024 Forbes America’s Top Next-Gen Wealth Advisors & Top Next-Gen Wealth Advisors Best-in-State (formerly referred to as Forbes America's Top Next-Gen Wealth Advisors, Forbes Top 1,000 Next-Gen Wealth Advisors, Forbes Top 500 Next Generation Wealth Advisors)
Source: Forbes.com (Awarded 2018, 2020, 2021, 2024). Data compiled by SHOOK Research LLC based on 12-month period concluding in Mar of the year the award was issued.
Services Include
Check the background of Our Firm and Investment Professionals on FINRA's BrokerCheck.*
Our Golden Rule
Our team culture is centered around a timeless rule: do unto others as you’d want done unto you. This applies to everything we do, from our client service model to our portfolio management. It has to. After all, clients are trusting us to help financially protect not just themselves, but their legacy for loved ones, too.
Your Investments
With a Portfolio Management Director on our team, we keep all your investments “in house.” That’s a gamechanger: not only are we able to offer complete transparency, it also allows us to invest your money according to your specific goals, timelines, and risk appetites, with strategies that we truly believe in.
And when we say we believe in our approach, it’s not lip service. We invest our own money – and our families’ money – using many of the same strategies we use to invest yours. Very few advisors do that. But we believe it shouldn’t be any other way.
And when we say we believe in our approach, it’s not lip service. We invest our own money – and our families’ money – using many of the same strategies we use to invest yours. Very few advisors do that. But we believe it shouldn’t be any other way.
A Multigenerational Capacity
While we have decades of combined industry experience, we also deliver the youthful savvy and stamina to help your family for generations to come. Plus, Financial Advisor James Svigos holds the elite Family Wealth Director designation (held by less than 5% of Morgan Stanley advisors as of 2022). Here’s why that level of experience matters: the transfer of wealth to children and grandchildren is a very meaningful endeavor to our clients. Not only do we provide innovative strategies to help protect and grow that wealth, we also assist future generations in understanding its significance and how to preserve it.
A Comprehensive Approach
We manage all aspects of your financial life, from retirement income planning and cash management, to lending, wealth transfer, mitigation strategies for taxes and inflation, and more.
A Focus on Your Future
We put you first. Always. That’s our team’s unwavering promise. It’s why we craft customized financial plans. It’s why we check-in with you on a regular basis and make time to address your questions. We don’t take our responsibility lightly. We do everything in our power to show you – through actions big and small – that you and your family are our number one priority.
Financial Planning
The Svigos Gray Wealth Management Group delivers a personalized wealth management experience that begins with a meticulously crafted financial plan. While assisting families fortify and strengthen their respective balance sheets, our planning process affords both a quantitative and qualitative backdrop to make well informed financial decisions. Engaging all areas of each client’s financial life – investments, insurance, lending needs, and more – our team works toward your financial freedom now and in retirement.
To begin your financial plan, please reference the attached resources and contact a member of our team for assistance.
To begin your financial plan, please reference the attached resources and contact a member of our team for assistance.
Strategy - Intelligent Withdrawals
Building wealth is a means to an end. Taxes can eat up a significant portion of your assets upon withdrawal. This is why it's vital to look at your entire portfolio and coordinate liquidation to help reduce the impact of taxes and potentially improve investment results.
The decisions your make today can help you save for years to come. Use the resources found in the link below to help get started.
View Tax-Aware Strategies HereThe decisions your make today can help you save for years to come. Use the resources found in the link below to help get started.
Spending and Budgeting Tool
One way to manage savings is by using Morgan Stanley’s Spending and Budgeting tool. These tools help advisors monitor client cash flows across both internal and external accounts. It also tracks spending patterns and produces an income and expense analysis to help clients achieve their goals by adjusting their spending behavior when necessary.
Start Using the Tool TodayAwards
By putting clients first, our team's Financial Advisors are leading the way.
Forbes Best-In-State Wealth Management Team
2023, 2024, 2025 - Svigos Gray Wealth Management Group
2023, 2024, 2025 Forbes Best-In-State Wealth Management Teams
Source: Forbes.com (Awarded Jan 2023, 2024, 2025) Data compiled by SHOOK Research LLC based 12-month time period concluding in March of year prior to the issuance of the award.
2023, 2024, 2025 Forbes Best-In-State Wealth Management Teams
Source: Forbes.com (Awarded Jan 2023, 2024, 2025) Data compiled by SHOOK Research LLC based 12-month time period concluding in March of year prior to the issuance of the award.
Forbes Best-In-State Wealth Advisors
2022, 2023, 2024 - James Svigos
2022, 2023, 2024 Forbes Best-In-State Wealth Advisors
Source: Forbes.com (Awarded 2022, 2023, 2024). Data compiled by SHOOK Research LLC based 12-month time period concluding in June of year prior to the issuance of the award.
2022, 2023, 2024 Forbes Best-In-State Wealth Advisors
Source: Forbes.com (Awarded 2022, 2023, 2024). Data compiled by SHOOK Research LLC based 12-month time period concluding in June of year prior to the issuance of the award.
Forbes Top Next Gen Wealth Advisors
2018, 2020, 2021 - James Svigos
2018, 2020, 2021 Forbes America’s Top Next-Gen Wealth Advisors & Top Next-Gen Wealth Advisors Best-in-State (formerly referred to as Forbes America's Top Next-Gen Wealth Advisors, Forbes Top 1,000 Next-Gen Wealth Advisors, Forbes Top 500 Next Generation Wealth Advisors)
Source: Forbes.com (Awarded 2018, 2020, 2021). Data compiled by SHOOK Research LLC based on 12-month period concluding in Mar of the year the award was issued.
2018, 2020, 2021 Forbes America’s Top Next-Gen Wealth Advisors & Top Next-Gen Wealth Advisors Best-in-State (formerly referred to as Forbes America's Top Next-Gen Wealth Advisors, Forbes Top 1,000 Next-Gen Wealth Advisors, Forbes Top 500 Next Generation Wealth Advisors)
Source: Forbes.com (Awarded 2018, 2020, 2021). Data compiled by SHOOK Research LLC based on 12-month period concluding in Mar of the year the award was issued.
Forbes Top Next Gen Best-In-State Wealth Advisors
2019, 2022, 2023, 2024 - James Svigos
2019, 2022, 2023, 2024 Forbes America’s Top Next-Gen Wealth Advisors & Top Next-Gen Wealth Advisors Best-in-State (formerly referred to as Forbes America's Top Next-Gen Wealth Advisors, Forbes Top 1,000 Next-Gen Wealth Advisors, Forbes Top 500 Next Generation Wealth Advisors)
Source: Forbes.com (Awarded 2019, 2022, 2023, 2024). Data compiled by SHOOK Research LLC based on 12-month period concluding in Mar of the year the award was issued.
2019, 2022, 2023, 2024 Forbes America’s Top Next-Gen Wealth Advisors & Top Next-Gen Wealth Advisors Best-in-State (formerly referred to as Forbes America's Top Next-Gen Wealth Advisors, Forbes Top 1,000 Next-Gen Wealth Advisors, Forbes Top 500 Next Generation Wealth Advisors)
Source: Forbes.com (Awarded 2019, 2022, 2023, 2024). Data compiled by SHOOK Research LLC based on 12-month period concluding in Mar of the year the award was issued.
Morgan Stanley Masters Club Award
2020 - 2025 - James Svigos
Morgan Stanley Century Club Award
2017 - 2019 - James Svigos
Morgan Stanley Pace Setters Club Award
2010 - 2015 - James Svigos
2019 - 2024 - Andrew Gray
2019 - 2024 - Andrew Gray
Family Wealth Director Designation
2021 - James Svigos
Senior Portfolio Management Director
2025 - James Svigos
Insurance Planning Director
2020 - James Svigos
Alternative Investments Director
2022 - James Svigos
Lending Specialist
2022 - James Svigos
Executive Financial Services Director
2022 - James Svigos
Location
233 S Wacker Dr
Ste 8600
Chicago, IL 60606
US
Direct:
(312) 419-3440(312) 419-3440
Meet The Svigos Gray Wealth Management Group
Phone:
(312) 419-3303(312) 419-3303
Mitchell Carpenter
Financial Advisor
Phone:
(312) 419-3530(312) 419-3530
Sean Lirot
Client Service Associate
Phone:
(312) 419-3495(312) 419-3495
Blake Holfeld
Client Service Associate
Phone:
(312) 419-3414(312) 419-3414
Matthew Mangan
Client Service Associate
Phone:
(312) 419-3583(312) 419-3583
About James Svigos
James Svigos is an Executive Director, Financial Advisor, Family Wealth Director, and Portfolio Management Director with The Svigos Gray Wealth Management Group at Morgan Stanley in Chicago. With 15+ years of industry experience, a suite of elite designations and awards, and a straightforward approach – James helps clients overcome the complex financial challenges inherent to retirement and other major life transitions.
After graduating from Columbia University in 2009, James entered the financial industry at one of its most turbulent moments as a financial advisor with Morgan Stanley in New York. It was a formative experience that instilled in James the value of risk management and retirement income planning. The Chicago area-native then moved back to the Windy City, where he founded the Svigos Gray Wealth Management Group with Andrew Gray.
Over the years, James has earned numerous industry awards for the unparalleled wealth management experience he provides his clients. Forbes named him a Best-In-State Wealth Advisor in 2022-2024, Top Next Gen Wealth Advisor in 2018, 2020, and 2021, as well as a Top Next Gen Best-in-State Wealth Advisor in 2019 and 2022-2024. Among the many firm-wide recognitions he’s received, he’s most proud of his Family Wealth Director designation – held by less than 5% of Morgan Stanley advisors as of 2022 – which points to his special emphasis on helping families achieve their objectives across multiple generations.
While customized and comprehensive financial plans are the backbone of James’s wealth management approach, he also offers an intimate knowledge of equities, fixed income, alternative investments, insurance products, syndicate offerings, and structured products. As the Svigos Gray team’s Portfolio Management Director, he strives to offer his clients a wide variety of investment options to help meet their specific goals, challenges, and risk appetites. He’s also able to offer his clients access to an array of liquidity strategies provided by Morgan Stanley’s Banking and Lending team.
James lives in Chicago with his wife and their four children. Outside the office, quality time with family is his top priority. He and his wife also support their community through organizations such as The WINGS Program, Lurie Children's Hospital of Chicago, St. Jude Children’s Research Hospital, and Valley Guardians. A former NCAA Division 1-AA football player and varsity rugby player at Columbia, James remains active and is an avid sports fan.
Alternative investments often are speculative and include a high degree of risk. Investors could lose all or a substantial amount of their investment. Alternative investments are appropriate only for eligible, long-term investors who are willing to forgo liquidity and put capital at risk for an indefinite period of time. They may be highly illiquid and can engage in leverage and other speculative practices that may increase the volatility and risk of loss. Alternative Investments typically have higher fees than traditional investments. Investors should carefully review and consider potential risks before investing.
Past performance is no guarantee of future results. Actual results may vary. Diversification does not assure a profit or protect against loss in a declining market.
Morgan 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
Bonds are subject to interest rate risk. When interest rates rise, bond prices fall; generally the longer a bond's maturity, the more sensitive it is to this risk. Bonds may also be subject to call risk, which is the risk that the issuer will redeem the debt at its option, fully or partially, before the scheduled maturity date. The market value of debt instruments may fluctuate, and proceeds from sales prior to maturity may be more or less than the amount originally invested or the maturity value due to changes in market conditions or changes in the credit quality of the issuer. Bonds are subject to the credit risk of the issuer. This is the risk that the issuer might be unable to make interest and/or principal payments on a timely basis. Bonds are also subject to reinvestment risk, which is the risk that principal and/or interest payments from a given investment may be reinvested at a lower interest rate.
Morgan Stanley Smith Barney LLC offers insurance products in conjunction with its licensed insurance agency affiliates.
Private Bankers are employees of Morgan Stanley Private Bank, National Association, Member FDIC.
Borrowing against securities may not be appropriate for everyone. You should be aware that there are risks associated with a securities based loan, including possible margin calls on short notice, and that market conditions can magnify any potential for loss.
After graduating from Columbia University in 2009, James entered the financial industry at one of its most turbulent moments as a financial advisor with Morgan Stanley in New York. It was a formative experience that instilled in James the value of risk management and retirement income planning. The Chicago area-native then moved back to the Windy City, where he founded the Svigos Gray Wealth Management Group with Andrew Gray.
Over the years, James has earned numerous industry awards for the unparalleled wealth management experience he provides his clients. Forbes named him a Best-In-State Wealth Advisor in 2022-2024, Top Next Gen Wealth Advisor in 2018, 2020, and 2021, as well as a Top Next Gen Best-in-State Wealth Advisor in 2019 and 2022-2024. Among the many firm-wide recognitions he’s received, he’s most proud of his Family Wealth Director designation – held by less than 5% of Morgan Stanley advisors as of 2022 – which points to his special emphasis on helping families achieve their objectives across multiple generations.
While customized and comprehensive financial plans are the backbone of James’s wealth management approach, he also offers an intimate knowledge of equities, fixed income, alternative investments, insurance products, syndicate offerings, and structured products. As the Svigos Gray team’s Portfolio Management Director, he strives to offer his clients a wide variety of investment options to help meet their specific goals, challenges, and risk appetites. He’s also able to offer his clients access to an array of liquidity strategies provided by Morgan Stanley’s Banking and Lending team.
James lives in Chicago with his wife and their four children. Outside the office, quality time with family is his top priority. He and his wife also support their community through organizations such as The WINGS Program, Lurie Children's Hospital of Chicago, St. Jude Children’s Research Hospital, and Valley Guardians. A former NCAA Division 1-AA football player and varsity rugby player at Columbia, James remains active and is an avid sports fan.
Alternative investments often are speculative and include a high degree of risk. Investors could lose all or a substantial amount of their investment. Alternative investments are appropriate only for eligible, long-term investors who are willing to forgo liquidity and put capital at risk for an indefinite period of time. They may be highly illiquid and can engage in leverage and other speculative practices that may increase the volatility and risk of loss. Alternative Investments typically have higher fees than traditional investments. Investors should carefully review and consider potential risks before investing.
Past performance is no guarantee of future results. Actual results may vary. Diversification does not assure a profit or protect against loss in a declining market.
Morgan 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
Bonds are subject to interest rate risk. When interest rates rise, bond prices fall; generally the longer a bond's maturity, the more sensitive it is to this risk. Bonds may also be subject to call risk, which is the risk that the issuer will redeem the debt at its option, fully or partially, before the scheduled maturity date. The market value of debt instruments may fluctuate, and proceeds from sales prior to maturity may be more or less than the amount originally invested or the maturity value due to changes in market conditions or changes in the credit quality of the issuer. Bonds are subject to the credit risk of the issuer. This is the risk that the issuer might be unable to make interest and/or principal payments on a timely basis. Bonds are also subject to reinvestment risk, which is the risk that principal and/or interest payments from a given investment may be reinvested at a lower interest rate.
Morgan Stanley Smith Barney LLC offers insurance products in conjunction with its licensed insurance agency affiliates.
Private Bankers are employees of Morgan Stanley Private Bank, National Association, Member FDIC.
Borrowing against securities may not be appropriate for everyone. You should be aware that there are risks associated with a securities based loan, including possible margin calls on short notice, and that market conditions can magnify any potential for loss.
Securities Agent: NJ, OH, RI, WI, TX, WY, WV, WA, VA, UT, TN, SD, SC, PA, OR, OK, MT, NY, NV, NM, NH, NE, NC, MS, MO, MN, MI, ME, MD, MA, KY, KS, IN, ID, IA, HI, GA, FL, DE, DC, CT, CO, CA, AZ, AR, AL, LA, PR, IL; General Securities Representative; Investment Advisor Representative
NMLS#: 1270082
CA Insurance License #: 4064007
NMLS#: 1270082
CA Insurance License #: 4064007
About Andrew Gray
Andrew Gray is a First Vice President, Financial Advisor and Workplace Advisor – Equity Compensation with The Svigos Gray Wealth Management Group at Morgan Stanley in Chicago. Backed by a decade of industry experience and the power of Morgan Stanley, Andrew helps a wide range of clients – from corporate executives to business owners to families – achieve an even wider set of goals.
A graduate of Virginia Tech with a bachelor’s degree in Finance with a minor in Accounting, Andrew began his career as a Financial Analyst in the Finance Leadership Development Program at Siemens Industry. He went on to become a Foreign Exchange Trader with the Chicago-based global proprietary trading company Gelber Group, where he focused on emerging economy FX markets. In 2017, he joined Morgan Stanley as a financial advisor and co-founded The Svigos Gray Wealth Management Group with James Svigos. Andrew received Morgan Stanley’s “Pace Setters Club” Award 2019-2022.
His primary focus within the Svigos Gray team is to help clients step confidently into every stage of their retirement. To do that, he develops personalized financial plans that account for everything from tax mitigation and asset allocation, to education and estate planning. His goal is to leave no stone left unturned. That way, he can help his clients circumvent financial speedbumps down the road, and remain nimble to any unexpected challenges that may arise. With the unique insights he gleaned from his extensive capital markets experience, Andrew also co-manages the teams’ client portfolios.
Having lived all around the world – spending his formative years in Hong Kong – Andrew now calls Chicago home. He supports numerous non-profit organizations in the area including the Albany Park Community Center, Streetwise, Cara Collective, and Bear Necessities. A sports enthusiast who played varsity rugby at Virginia Tech, he tries to attend as many Chicago sports games as he can. He also enjoys traveling and exploring the city’s culinary scene.
A graduate of Virginia Tech with a bachelor’s degree in Finance with a minor in Accounting, Andrew began his career as a Financial Analyst in the Finance Leadership Development Program at Siemens Industry. He went on to become a Foreign Exchange Trader with the Chicago-based global proprietary trading company Gelber Group, where he focused on emerging economy FX markets. In 2017, he joined Morgan Stanley as a financial advisor and co-founded The Svigos Gray Wealth Management Group with James Svigos. Andrew received Morgan Stanley’s “Pace Setters Club” Award 2019-2022.
His primary focus within the Svigos Gray team is to help clients step confidently into every stage of their retirement. To do that, he develops personalized financial plans that account for everything from tax mitigation and asset allocation, to education and estate planning. His goal is to leave no stone left unturned. That way, he can help his clients circumvent financial speedbumps down the road, and remain nimble to any unexpected challenges that may arise. With the unique insights he gleaned from his extensive capital markets experience, Andrew also co-manages the teams’ client portfolios.
Having lived all around the world – spending his formative years in Hong Kong – Andrew now calls Chicago home. He supports numerous non-profit organizations in the area including the Albany Park Community Center, Streetwise, Cara Collective, and Bear Necessities. A sports enthusiast who played varsity rugby at Virginia Tech, he tries to attend as many Chicago sports games as he can. He also enjoys traveling and exploring the city’s culinary scene.
Securities Agent: PA, AK, AL, AR, AZ, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY, CA, LA; General Securities Representative; Investment Advisor Representative
NMLS#: 1879617
CA Insurance License #: 4102740
NMLS#: 1879617
CA Insurance License #: 4102740
About Mitchell Carpenter
Securities Agent: NE, AK, WA, PA, NY, MN, MA, KY, VI, OR, OH, NV, NM, NC, DE, CO, AL, WI, SD, MI, ME, MD, LA, CA, MT, CT, ND, MO, WY, WV, VA, SC, HI, AR, UT, PR, OK, IL, IA, DC, NJ, NH, KS, IN, AZ, TX, RI, MS, GA, VT, TN, ID, FL; General Securities Representative; Investment Advisor Representative
About Sean Lirot
Sean Lirot joined Morgan Stanley in 2021 as a Client Service Associate in the Chicago Tower Complex. As a member of the Svigos Gray Group, Sean is responsible for supporting client relationships and administrative needs.
Sean values assisting families streamline their day to day financial needs, and takes pride in the attention to detail that goes into each interaction. In efforts to further enhance the client experience, Sean assists with on-boarding, account maintenance and financial reporting.
Sean graduated from the University of Missouri earning a B.S. in Finance and Banking. After completing his degree, he transitioned into the mortgage industry before joining Morgan Stanley. Currently residing in the Chicagoland area, Sean enjoys golfing, traveling, and rooting for all Chicago sports teams.
Sean values assisting families streamline their day to day financial needs, and takes pride in the attention to detail that goes into each interaction. In efforts to further enhance the client experience, Sean assists with on-boarding, account maintenance and financial reporting.
Sean graduated from the University of Missouri earning a B.S. in Finance and Banking. After completing his degree, he transitioned into the mortgage industry before joining Morgan Stanley. Currently residing in the Chicagoland area, Sean enjoys golfing, traveling, and rooting for all Chicago sports teams.
About Blake Holfeld
Blake Holfeld joined Morgan Stanley in 2021 as a Client Service Associate in the Chicago Tower Complex. As a member of The Svigos Gray Group, Blake assists in the oversight of the team’s operational and business development initiatives.
Blake values the individuality of each client relationship, and takes pride in going the extra mile to create long-lasting relationships. Blake ensures that the team is constantly evolving by developing strategies geared toward enhancing the overall client experience.
Blake graduated from Florida Gulf Coast University earning a B.S. in Finance. After completing his degree, Blake moved back to his hometown in the Chicago suburbs to pursue a career in the financial industry at Morgan Stanley. Blake enjoys spending time with family and friends and is passionate about fitness and health.
Blake values the individuality of each client relationship, and takes pride in going the extra mile to create long-lasting relationships. Blake ensures that the team is constantly evolving by developing strategies geared toward enhancing the overall client experience.
Blake graduated from Florida Gulf Coast University earning a B.S. in Finance. After completing his degree, Blake moved back to his hometown in the Chicago suburbs to pursue a career in the financial industry at Morgan Stanley. Blake enjoys spending time with family and friends and is passionate about fitness and health.
Contact James Svigos
Contact Andrew Gray
Contact Mitchell Carpenter
The Power of Partnerships
By partnering with experienced individuals across wealth disciplines, Morgan Stanley Financial Advisors can align specialized resources with your custom needs and deliver strategic guidance through the familiarity and trust of existing relationships
Michael Gallagher
Managing Director, Wealth Management, Financial Advisor, Corporate Client Group Director
Managing Director, Private Wealth Management, Private Wealth Advisor, Stock Plan Director
Mark T Curtis
Managing Director, Stock Plan Director, Financial Planning Specialist, Family Wealth Director, International Client Advisor, Investing with Impact Director
Morgan Stanley Wealth Management Financial Advisers can conduct their business in several ways: individually, as a member of a team of Financial Advisors, or through the formation of a Strategic Partnership with another Financial Advisor or team of Financial Advisors. A Strategic Partnership is an arrangement between a Financial Advisor or a team of Financial Advisors with another Financial Advisor or team of Financial Advisors that has a unique focus or knowledge regarding a specific business concentration, product area, and/or client type. If your account is with an individual Financial Advisor, that Financial Advisor services all facets of your account. If your account is with a Financial Advisor who is a member of a team, any Financial Advisor on the team can service your account. If your Financial Advisor is part of a Strategic Partnership, his or her role in that Strategic Partnership may be limited to a specific business and/or product area and may not cover all facets of your account. The use of the terms “Partner” or “Strategic Partner” and/or “Partnership” or “Strategic Partnership” are used as terms of art and not used to imply or connote any legal relationship.
Wealth Management
Global Investment Office
Portfolio Insights
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
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
Family
Creating customized financial strategies for the challenges that today’s families face.
- Estate Planning Strategies
- 529 Plans / Education Savings Planning
- Long Term Care Insurance
- Special Needs Planning
- Trust Services
Business Planning
Helping you on key aspects of your business such as ownership, liquidity and developing opportunities.
- Succession Planning
- Business Planning
- Qualified Retirement Plans
Financial Planning for Life After Selling a Business
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Philanthropy
Making sure your philanthropic dollars are managed with the same high quality service as the rest of your wealth.
- Endowments
- Foundations
- Donor Advised Funds
- Impact Investing
Donor Advised Funds: A Smart Way to Manage Your Giving
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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.
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1Morgan Stanley offers a wide array of brokerage and advisory services to its clients, each of which may create a different type of relationship with different obligations to you. Please consult with your Financial Advisor to understand these differences or review our Understanding Your Brokerage and Investment Advisory Relationships brochure available at www.morganstanley.com/wealth-relationshipwithms/pdfs/understandingyourrelationship.pdf.
For more information, please see the Morgan Stanley Smith Barney LLC Client Relationship Summary.
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 (“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.
4When Morgan Stanley Smith Barney LLC, its affiliates and Morgan Stanley Financial Advisors and Private Wealth Advisors (collectively, “Morgan Stanley”) provide “investment advice” regarding a retirement or welfare benefit plan account, an individual retirement account or a Coverdell education savings account (“Retirement Account”), Morgan Stanley is a “fiduciary” as those terms are defined under the Employee Retirement Income Security Act of 1974, as amended (“ERISA”), and/or the Internal Revenue Code of 1986 (the “Code”), as applicable. When Morgan Stanley provides investment education, takes orders on an unsolicited basis or otherwise does not provide “investment advice”, Morgan Stanley will not be considered a “fiduciary” under ERISA and/or the Code. For more information regarding Morgan Stanley’s role with respect to a Retirement Account, please visit www.morganstanley.com/disclosures/dol. Tax laws are complex and subject to change. Morgan Stanley does not provide tax or legal advice. Individuals are encouraged to consult their tax and legal advisors (a) before establishing a Retirement Account, and (b) regarding any potential tax, ERISA and related consequences of any investments or other transactions made with respect to a Retirement Account. Individuals should always check with their tax or legal advisor before engaging in any transaction involving 529 Plans, Education Savings Accounts and other tax-advantaged investments.
5Morgan 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
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.
7When 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.
8Morgan 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.
Certified Financial Planner Board of Standards Inc. owns the certification marks CFP®, CERTIFIED FINANCIAL PLANNER™ and federally registered CFP (with flame design) in the U.S, which it awards to individuals who successfully complete CFP Board’s initial and ongoing certification requirements.
The use of the CDFA designation does not permit the rendering of legal advice by Morgan Stanley or its Financial Advisors which may only be done by a licensed attorney. The CDFA designation is not intended to imply that either Morgan Stanley or its Financial Advisors are acting as experts in this field.
Awards Disclosures
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 (“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.
4When Morgan Stanley Smith Barney LLC, its affiliates and Morgan Stanley Financial Advisors and Private Wealth Advisors (collectively, “Morgan Stanley”) provide “investment advice” regarding a retirement or welfare benefit plan account, an individual retirement account or a Coverdell education savings account (“Retirement Account”), Morgan Stanley is a “fiduciary” as those terms are defined under the Employee Retirement Income Security Act of 1974, as amended (“ERISA”), and/or the Internal Revenue Code of 1986 (the “Code”), as applicable. When Morgan Stanley provides investment education, takes orders on an unsolicited basis or otherwise does not provide “investment advice”, Morgan Stanley will not be considered a “fiduciary” under ERISA and/or the Code. For more information regarding Morgan Stanley’s role with respect to a Retirement Account, please visit www.morganstanley.com/disclosures/dol. Tax laws are complex and subject to change. Morgan Stanley does not provide tax or legal advice. Individuals are encouraged to consult their tax and legal advisors (a) before establishing a Retirement Account, and (b) regarding any potential tax, ERISA and related consequences of any investments or other transactions made with respect to a Retirement Account. Individuals should always check with their tax or legal advisor before engaging in any transaction involving 529 Plans, Education Savings Accounts and other tax-advantaged investments.
5Morgan 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
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.
7When 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.
8Morgan 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.
Certified Financial Planner Board of Standards Inc. owns the certification marks CFP®, CERTIFIED FINANCIAL PLANNER™ and federally registered CFP (with flame design) in the U.S, which it awards to individuals who successfully complete CFP Board’s initial and ongoing certification requirements.
The use of the CDFA designation does not permit the rendering of legal advice by Morgan Stanley or its Financial Advisors which may only be done by a licensed attorney. The CDFA designation is not intended to imply that either Morgan Stanley or its Financial Advisors are acting as experts in this field.
Awards Disclosures
CRC 6491812 (04/2024), 3582895 (6/2024)
