John Wood
Senior Vice President, Wealth Management, Financial Advisor, Workplace Advisor – Equity Compensation, Retirement
Phone:
(203) 326-6966(203) 326-6966
THE WOOD GROUP at Morgan Stanley
Nisha Chisena, Portfolio ManagementPaul Fitzsimmons, CFP®, CRPC®, CRPS®Carolina McGoey, CFP®, QPFCBrian Nerreau, CFP®Huntington SimmonsRichard StoneJohn WoodBrenner AndersonEstefanía MunguíaShauna Simpson
Direct:
(203) 326-6958(203) 326-6958
Toll-Free:
(866) 469-3313(866) 469-3313
Industry Award WinnerOur Mission Statement
Helping individuals and families navigate complex financial decisions with clarity and confidence.
Our Story and Services
We work with individuals and families whose financial lives have grown more complex – where investments, taxes, and long-term planning are deeply interconnected.
Our goal is to bring clarity and structure to those decisions, helping clients move forward with confidence and purpose.
Our approach to wealth management extends well beyond portfolio construction. By integrating investment strategy withfinancial planning, tax considerations, and legacy objectives, we help ensure that each decision supports your broader financial life.
Through Morgan Stanley, our clients benefit from institutional-level resources, a broad range of investment solutions, and a sophisticated platform designed to support complex financial needs.
While clients may focus on wealth accumulation, income or capital preservation, their needs often extend further – encompassing retirement planning, distribution strategies, trust and estate considerations, and long-term legacy planning.
We build long-term relationships grounded in clarity, trust, and thoughtful guidance through decision-making at every stage.
Core Values:
- Experience and Diversity: Our combined experience, coupled with a team with varying backgrounds, helps us provide thoughtful advice and solutions to complex wealth management problems.
- Comprehensive Planning: From the very beginning, we sit down with our clients to understand their goals and build a plan that accommodates the possibility of future changes. Our clients take comfort in knowing that they have experienced financial professionals deploying a structured, comprehensive approach that always has their best interest in mind.
- Portfolio Management: With an emphasis on customization and tax efficiency, we focus a great deal of effort on allocating our clients' investments according to their risk tolerance, and constantly monitoring their portfolios with their goals in mind.
- Simplicity: We believe that true value lies in our ability to simplify the lives of our clients. Constant innovation, improvement, and seeking out new ways to streamline our approach are deeply held values of our team.
Check the background of Our Firm and Investment Professionals on FINRA's BrokerCheck.*
Working With You
Your goals, hopes and dreams are at the center of our work. That’s why we’ll plan to meet with you at length when you first begin working with us. We’ll ask smart questions and listen to what you say. Once we fully understand your situation, we’ll suggest ways to put your money to work. Below please find additional information on our key areas of strength:
Financial Planning
We take a holistic view of your entire financial picture to create a customized plan aligned to your objectives. Whether you’re saving for retirement, a child’s education or looking to protect wealth, we help design a strategy and provide ways to monitor progress over time.
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Retirement Solutions
We build retirement strategies that balance long-term goals with near-term liquidity needs while managing risk appropriately. Because everyone’s vision for retirement is different, we tailor a plan designed to help you sustain the lifestyle you want and align employer plans (e.g., 401(k), ESOP, NQDC) with your overall strategy.
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Corporate Retirement Plans
We help evaluate your plan’s fees and services relative to comparable plans to determine what is reasonable. Using benchmarking tools and a detailed review of plan costs, we support an “apples-to-apples” comparison and assess effectiveness from both quantitative and qualitative perspectives.
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Business Owners
Business owners face unique opportunities and complexities that benefit from integrated planning across both personal and corporate decisions. We help align cash flow, tax efficiency, growth initiatives, risk management, succession planning and potential liquidity events with your long-term wealth objectives to support a smooth transition and lasting financial security.
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Trust and Estate Planning Strategies
Building, protecting and passing on a legacy requires more than investing—it takes thoughtful structuring and coordinated planning. We help clarify objectives and support an integrated approach designed to protect wealth and promote family continuity across generations.
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Workplace Advisors - Equity Compensation
We provide guidance across employee equity compensation, including stock and option planning, to help you turn workplace wealth into progress toward your goals. Because equity programs can be complex due to taxes, vesting and concentration risk, we help with consolidation, diversification, tax-aware strategies and integrating equity into your broader financial plan.
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Portfolio Management
We leverage investment research and the firm’s global resources to help build a personalized investment strategy. We monitor and adjust your portfolio based on your goals and preferences, helping reduce the burden of day-to-day decision-making while expanding access to solutions such as alternatives and structured products where appropriate.
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Family Office Services
We support highly affluent families with coordinated, multi-generational planning and day-to-day complexity management. By working alongside your outside advisors (attorneys, accountants, trust professionals and others), we integrate investment management with broader wealth planning and concierge-style support.
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Risk Management
We take a holistic approach to identifying risk exposures and evaluating how different market scenarios could impact your plan. Our team also reviews insurance and protection needs—such as life, long-term care, annuities, and property & casualty—to help strengthen your overall financial foundation.
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Charitable Giving
A well-designed charitable plan can help support the causes you care about while potentially offering tax advantages. We help you evaluate giving strategies—including donor-advised funds—so your philanthropy can be thoughtful, efficient and lasting.
Learn MoreThe Wood Group Client Resources
Working with us and being a client at Morgan Stanley provides our clients with access to Morgan Stanley's robust suite of digital tools, which provide clients with simple and easy ways to access their accounts and manage their wealth effectively. We have assembled the following resources to provide you with information on your accounts and relevant financial topics.
Team Overview
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On the Markets Research Report
Detailed market commentary from Morgan Stanley's thought leaders on topics such as global equities, fixed income, monetary policy and more.
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Alternative Investments
Our leading alternatives platform offers 200+ third-party and proprietary funds, including first look and exclusive opportunities, that may help qualified investors enhance returns, reduce volatility, manage taxes and generate income. From simplified vehicles available more broadly to institutional strategies, the platform supports a goals-based approach for asset allocation tailored to investor needs.
Morgan Stanley Alternative Investments
Cybersecurity Resources
At Morgan Stanley, we have controls and processes in place that offer fraud protection to our clients and our infrastructure. The following resources are intended to help users enhance those processes to further protect themselves from cyber threats.
Reserved Living and Giving
Save on travel, dining, holiday gifts and more with Morgan Stanley's Reserved Living and Giving program.
See the Benefits
Total Tax 365
Taxes can be a substantial drag on investment returns. Morgan Stanley Total Tax 365 offers access to a broad range of tax-efficient strategies to help you integrate tax planning into your investment process all year long, maximize portfolio after-tax return potential, manage unrealized gains and help keep more of what you earn.
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529 Education Savings Plans
529 plans offer a flexible, tax-advantaged way to invest for education expenses while helping to improve estate planning. Gain fiduciary oversight of your education funding strategy within the context of your broader portfolio through the exclusive Morgan Stanley National Advisory 529 Plan.
529 Plan Options at Morgan Stanley
Morgan Stanley CashPlus Brokerage Account
Designed as a modern alternative to banking with the capabilities to help you access, move, and manage cash when you need it while enjoying exclusive benefits.
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Morgan Stanley Online
Morgan Stanley Online allows you to seamlessly and securely manage your investments and everyday finances in one place.
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Digital Vault
Digital Vault lets you easily and securely manage and share important documents such as account statements, authorizations, tax filings and other relevant documents with your Financial Advisor.
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eDelivery
Sign up for eDelivery today and start receiving email notifications as soon as your account documents are available on Morgan Stanley Online or the Morgan Stanley Mobile App. It's quick, convenient & secure.
Enroll Today
Playbook: Your Guide to Life & Money
How much of your savings should you be investing? Do you need a prenup? How do you know when you’re ready to buy a home or start a business? If you’re wrestling with some of these questions, the Playbook: Your Guide to Life & Money may have the answers you’re looking for.
Read MoreMonthly Updates
Our monthly newsletter is a staple of The Wood Group. Each month we strive to provide you relevant content related to a "theme of the month." Please take a look at some of our past newsletters and stay alert for next month's edition!
Education Planning - May 2026
With graduation season underway, many families find themselves reflecting on both milestones achieved and the opportunities that lie ahead. These moments often bring important financial decisions into focus, from planning for education to supporting the next stage of life with intention and clarity. In this month’s newsletter, we’ve curated insights to help guide those decisions, including strategies for managing the rising cost of education, thoughtful approaches to 529 planning, and broader considerations for families looking ahead.
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Tax Planning Newsletter - April 2026
In our world, April means one thing: taxes! Even if your taxes are already filed, it doesn’t mean your tax planning strategy should be an afterthought. In fact, this time of year can be a valuable opportunity to reflect on what worked, identify potential improvements, and begin positioning for the year ahead. In this edition, we have included several educational resources on deductions and tax-efficiency considerations.
Learn MoreSpring Cleaning Newsletter - March 2026
As the seasons begin to change and March brings the first signs of spring, it’s a natural time to reset and refocus. In this month’s newsletter, we’re sharing timely resources to help you stay organized and on track for the year ahead. You’ll find articles covering spring cleaning, market volatility, and an important update for this upcoming tax season. Next, in recognition of Women’s History Month, we’re excited to invite you to a special upcoming event celebrating the achievements and impact of women in our community.
Learn MoreFinancial Planning Newsletter - February 2026
Welcome to our February Newsletter! We hope you’ve had a great start to the new year. As we settle into 2026, it’s an excellent time to review your finances and get organized. This month’s focus is thoughtful financial planning—taking steps to help ensure your investment strategy remains aligned with your goals, priorities, and any changes in your life.
Learn MoreFinancial Resolutions Newsletter - January 2026
Happy New Year and welcome to our first newsletter of 2026! With the holiday season behind us and the new year in full swing, it is a great time to take stock of your financial goals. In this newsletter we have included several resources to help you prepare for the year ahead.
Learn MoreYear-End Planning Newsletter - December 2025
With the last few weeks of the year upon us, there are still several important financial matters to keep top of mind. In this newsletter we cover three personal finance areas that come into play this time of year: taxes, Social Security, and holiday scams. We then look ahead to 2026 with Morgan Stanley's investment and economic outlooks. Lastly, we want to wish you and your family a happy and healthy holiday season!
Learn MoreBusiness Owners Newsletter - November 2025
At The Wood Group, advising business owners has always been a core part of what we do and this month we're focusing on resources designed specifically for them. From selling a business to managing employee retirement plans and equity compensation, we've included several articles to help business owners navigate some of their most important challenges.
Learn MoreCybersecurity Newsletter - October 2025
As the seasons change, and the end of 2025 comes near, we wanted to remind you of the cybercrime threats that tend to spike this time of year. We thought it might be helpful to share a couple of articles, tools, and tips on how to help secure your personal information. We also have included a link to an upcoming cybersecurity event as well as information for protecting your personal accounts.
Learn MoreRetirement Readiness Newsletter - September 2025
Whether it is 5 years or 25 years away, it is never too early to start your retirement planning. To help you get started, we have included several articles below. At the bottom we have included an upcoming retirement focused event and a reminder regarding RMDs. We hope you enjoy!
Learn MoreBack-to-School Newsletter - August 2025
As students return to school and routines reset, it's a perfect moment to reset our understanding of the building blocks of financial health. From core budgeting and saving strategies to foundational investing knowledge, we have included several resources to help navigate today's markets and economy.
Learn MoreSummer Estate Planning - July 2025
With summer in full swing, it’s a great time to take stock of your financial health and make any necessary updates. In this edition, we cover timely strategies to help you optimize your estate planning and stay on track with your goals. We also have included important updates for clients with Inherited IRAs. As always, we’re here to help; please reach out with any questions!
Learn MoreMidyear Review - June 2025
Believe it or not but 2025 is nearly half-way over! As we reach the midyear mark, it is important to be doing some reflection on your portfolio. We're here to help you reflect on the last six months as well as consider where we may go for the rest of the year. We also have some tips for your summer travel!
Learn MoreCorporate Retirement
As a team with a Corporate Retirement Director, we will compare and evaluate plan fees and services to those of other similar plans – to help you determine what is reasonable. We can help identify and understand specific plan fees, leverage Fiduciary Benchmark's data and benchmarking capabilities to conduct an apples-to-apples comparison, and ultimately evaluate the effectiveness of their plan from both a quantitative as well as a qualitative perspective.
Managing a comprehensive retirement plan for your organization takes a unique set of skills. As a fiduciary, you are responsible for selecting and monitoring service providers and investments while also being committed to understanding and implementing ERISA regulations. You must also continue to create fresh strategies to encourage your employees to take full advantage of the program. For many plan sponsors, these responsibilities can be overwhelming.
With a commitment to outstanding service and an emphasis on excellence, our mission is simple: to provide objective and high-quality guidance, specialized knowledge and experience, and tailored solutions to empower your organization to make informed decisions about the retirement benefits you offer to your employees. Managing retirement benefits that align with your organization’s vision involves many decisions across multiple disciplines. I will work with you to understand your vision and craft a customized plan that supports your organization and your employees.
Managing a comprehensive retirement plan for your organization takes a unique set of skills. As a fiduciary, you are responsible for selecting and monitoring service providers and investments while also being committed to understanding and implementing ERISA regulations. You must also continue to create fresh strategies to encourage your employees to take full advantage of the program. For many plan sponsors, these responsibilities can be overwhelming.
With a commitment to outstanding service and an emphasis on excellence, our mission is simple: to provide objective and high-quality guidance, specialized knowledge and experience, and tailored solutions to empower your organization to make informed decisions about the retirement benefits you offer to your employees. Managing retirement benefits that align with your organization’s vision involves many decisions across multiple disciplines. I will work with you to understand your vision and craft a customized plan that supports your organization and your employees.
Paul Fitzsimmons, CFP®, CRPC®, CRPS®
Paul is The Wood Group’s Corporate Retirement Director, a designation that recognizes individuals who, as a part of their practice, focus on helping corporate clients manage their retirement plans. He also is a Chartered Retirement Plan Consultant (CRPC) and Chartered Retirement Plan Specialist (CRPS). Paul focuses on the Group’s efforts in the Corporate Qualified Plan area which includes Defined Contribution and Benefit Plans, Endowments and Foundations.
Carolina McGoey, CFP®, QPFC®
Carolina is The Wood Group’s Qualified Plan Financial Consultant, a designation that recognizes individuals who have comprehensive knowledge of general retirement concepts, terminology, distinctive features of each plan, and how financial professionals play a role in the retirement planning process. Carolina focuses on the Group's efforts to assist and support our Corporate Retirement Director with helping corporate clients manage their retirement plans.
2026 NAPA Top Defined Contribution (DC) Advisor Teams
Source: napa-net.org (March 2026) awarded in 2026. This ranking was determined through an evaluation process conducted by NAPA based on self-reported assets under advisement as of Dec 31, 2025.
NAPA Website2025 NAPA Top Defined Contribution (DC) Advisor Teams
Source: napa-net.org (March 2025) awarded in 2025. This ranking was determined through an evaluation process conducted by NAPA based on self-reported assets under advisement as of Dec 31, 2024.
NAPA Website
2024 NAPA Top Defined Contribution (DC) Advisor Teams
Source: napa-net.org (March 2025) awarded in 2024. This ranking was determined through an evaluation process conducted by NAPA based on self-reported assets under advisement as of Dec 31, 2023.
NAPA Website
QPFC® - Qualified Plan Financial Consultant (Carolina McGoey)
The Qualified Plan Financial Consultant® is awarded by the National Association of Plan Advisors for financial professionals who sell, advise, market or support qualified retirement plans.
CRPS® - Chartered Retirement Plans Specialist® (Paul Fitzsimmons)
The Chartered Retirement Plans Specialist® is a credential awarded by the College for Financial Planning for advisors focused on creating, implementing and maintaining retirement plans for businesses. The core areas of focus include IRAs, plans for small businesses, defined contribution plans, defined benefit plans and fiduciary issues.
CRPC® - Chartered Retirement Planning Counselor® (Paul Fitzsimmons)
The Chartered Retirement Planning Counselor® is awarded by the College for Financial Planning for advisors focused on retirement planning for individuals. The core areas of focus include pre- and post-retirement needs, asset management, and estate planning.
Corporate Retirement Planning at Morgan Stanley
Through Morgan Stanley, Corporate Retirement Directors have access to first-class resources that are
designed specifically to tackle the hurdles you and your employees face, and the specialized knowledge
and experience to address those challenges now and in the future.
Learn Moredesigned specifically to tackle the hurdles you and your employees face, and the specialized knowledge
and experience to address those challenges now and in the future.
Corporate Retirement Client Experience
Morgan Stanley at Work’s research-backed Participant Experience Model, aims to improve retirement plan participation and retirement readiness through financial education and guidance. It outlines a multi-channel engagement approach that combines 1-on-1 and group advisor education, a themed digital retirement newsletter, on-demand resources via the Morgan Stanley at Work Learning Center/retirement portal, and monthly “Webinar Wednesday” live sessions.
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Choosing a Plan for Your Business
If you are thinking of offering a retirement plan for your business but are unsure where to start, this guide provides a high-level overview of common types of retirement plans. When you are ready to dive into more detail, we can help you navigate the features and benefits of each option so you can decide which plan makes sense for your business.
Learn More
Retirement Plan Profile Questionnaire
A retirement plan is one of the most important benefits you can offer your employees. The information requested below will help us identify solutions that best correspond with your needs and those of your employees.
Learn More
Improving Employee Contributions
There are three key areas where you can make improvements to your retirement plan to help make sure your employees are ready and able to make the most of their retirement benefits.
Learn MoreLocation
4 Landmark Square
2nd Floor
Stamford, CT 06901
US
Direct:
(203) 326-6958(203) 326-6958
Toll-Free:
(866) 469-3313(866) 469-3313
Fax:
(203) 967-7006(203) 967-7006
Meet THE WOOD GROUP
Brian Nerreau, CFP®
Senior Vice President, Wealth Management, Financial Advisor, Insurance Planning Director, Workplace Advisor – Equity Compensation, Retirement
Phone:
(203) 326-6942(203) 326-6942
Paul Fitzsimmons, CFP®, CRPC®, CRPS®
Senior Vice President, Wealth Management, Financial Advisor, Corporate Retirement Director, Workplace Advisor – Equity Compensation, Retirement
Phone:
(203) 326-6946(203) 326-6946
Carolina McGoey, CFP®, QPFC
Associate Vice President, Wealth Management, Financial Advisor, CERTIFIED FINANCIAL PLANNER®, Qualified Plan Financial Consultant, Insurance Planning Director, Workplace Advisor – Equity Compensation, Retirement
Phone:
(203) 326-6964(203) 326-6964
Nisha Chisena, Portfolio Management
First Vice President, Wealth Management, Financial Advisor, Portfolio Manager, Workplace Advisor – Equity Compensation, Retirement
Phone:
(203) 326-6960(203) 326-6960
Richard Stone
Senior Vice President, Wealth Management, Financial Advisor, Senior Portfolio Management Director
Phone:
(203) 326-6954(203) 326-6954
Huntington Simmons
Vice President, Wealth Management, Financial Advisor, Portfolio Manager
Phone:
(203) 326-6903(203) 326-6903
Shauna Simpson
Vice President, Wealth Management Associate
Phone:
(203) 326-6958(203) 326-6958
Estefanía Munguía
Portfolio Associate, Financial Planning Specialist*
Phone:
(203) 967-7112(203) 967-7112
Brenner Anderson
Client Service Associate
Phone:
(203) 326-6999(203) 326-6999
About John Wood
John F. Wood, Jr
Senior Vice President - Wealth Management
Financial Advisor
Jay is a Financial Advisor and Senior Vice President at Morgan Stanley. Jay is deeply committed to building long-term relationships. By taking the time to listen, understand and objectively assess clients’ needs, risk tolerance and investment objectives, he carefully develops, reviews and implements customized investment programs for each of our clients.
Prior to joining the firm at the end of 2008, Jay spent nine years at Merrill Lynch. While at Merrill, Jay served as President of the New York Trust Company and Director of Wealth Management Services. In 2002, Jay formed The Wood Group at Merrill Lynch with Paul Fitzsimmons, Steve Lazarus and Brian Nerreau with the intention of servicing High Net Worth Individuals, Family Offices, NFP organizations, corporate defined benefit and contribution retirement plans as well as small and mid-sized businesses. Before joining Merrill, Jay was the Executive Vice President of Fleet Bank responsible for its Private Banking Business in the Metro New York region.
Jay received his undergraduate degree and MBA in Finance from Rollins College and holds Series 7, 31 and 66 FINRA licenses. He also holds insurance and long term care licenses.
Jay and his wife Terrie have three children and live in Darien, CT. He enjoys golf, boating and travel. Past affiliations include Board President of Wee Burn Country Club, President of the Darien YMCA, Vice President of the Darien Library Board, President of the Board of Darien EMS, and Norwalk Community College Foundation Trustee.
Senior Vice President - Wealth Management
Financial Advisor
Jay is a Financial Advisor and Senior Vice President at Morgan Stanley. Jay is deeply committed to building long-term relationships. By taking the time to listen, understand and objectively assess clients’ needs, risk tolerance and investment objectives, he carefully develops, reviews and implements customized investment programs for each of our clients.
Prior to joining the firm at the end of 2008, Jay spent nine years at Merrill Lynch. While at Merrill, Jay served as President of the New York Trust Company and Director of Wealth Management Services. In 2002, Jay formed The Wood Group at Merrill Lynch with Paul Fitzsimmons, Steve Lazarus and Brian Nerreau with the intention of servicing High Net Worth Individuals, Family Offices, NFP organizations, corporate defined benefit and contribution retirement plans as well as small and mid-sized businesses. Before joining Merrill, Jay was the Executive Vice President of Fleet Bank responsible for its Private Banking Business in the Metro New York region.
Jay received his undergraduate degree and MBA in Finance from Rollins College and holds Series 7, 31 and 66 FINRA licenses. He also holds insurance and long term care licenses.
Jay and his wife Terrie have three children and live in Darien, CT. He enjoys golf, boating and travel. Past affiliations include Board President of Wee Burn Country Club, President of the Darien YMCA, Vice President of the Darien Library Board, President of the Board of Darien EMS, and Norwalk Community College Foundation Trustee.
Securities Agent: MD, WA, OH, FL, SC, VA, MT, NH, DE, VT, TX, NY, MA, IN, AL, HI, RI, MI, IL, MO, MN, GA, CT, CO, NM, TN, NJ, ME, DC, CA, WY, PA, OR, NC; General Securities Representative; Investment Advisor Representative; Managed Futures
NMLS#: 1270218
NMLS#: 1270218
About Brian Nerreau
Brian J. Nerreau, CFP®
Insurance Planning Director
Senior Vice President - Wealth Management
Financial Advisor
Brian is a Financial Advisor and Senior Vice President at Morgan Stanley. He joined the firm at the end of 2008 as a senior member of The Wood Group. Brian works with The Wood Group’s clients in all areas of Liability Management and Cash Management for both individuals and businesses, Financial Planning, Insurance and Long-Term Care.
Prior to joining Morgan Stanley, Brian spent seven years at Merrill Lynch as a senior member of The Wood Group as well. Before joining Merrill, Brian spent 13 years as a Senior Vice President and Team Leader in the Private Banking Group of FleetBoston Corporation, primarily in their Greenwich, CT location. Brian began his banking career at Chase Manhattan Bank in New York where he established and managed the Real Estate Lending Department of Chase Private Banking. Brian has over 30 years of consulting experience working with high net worth individuals, families, and businesses.
Brian is an Insurance Planning Director and a Certified Financial Planner™, holds his Series 7 and 66 FINRA licenses, his Insurance License and is certified in Long-Term Care. Both Brian’s undergraduate and graduate studies were in Economics and Finance at Fairfield University.
Brian and his wife have three children and live in Fairfield, CT. Through the years he has enjoyed coaching a variety of sports, particularly lacrosse, playing golf, bicycling and hiking. Brian is the Chairman of the Fairfield Parks and Recreation Department and also volunteers with a number of committees at B’Nai Israel.
Insurance Planning Director
Senior Vice President - Wealth Management
Financial Advisor
Brian is a Financial Advisor and Senior Vice President at Morgan Stanley. He joined the firm at the end of 2008 as a senior member of The Wood Group. Brian works with The Wood Group’s clients in all areas of Liability Management and Cash Management for both individuals and businesses, Financial Planning, Insurance and Long-Term Care.
Prior to joining Morgan Stanley, Brian spent seven years at Merrill Lynch as a senior member of The Wood Group as well. Before joining Merrill, Brian spent 13 years as a Senior Vice President and Team Leader in the Private Banking Group of FleetBoston Corporation, primarily in their Greenwich, CT location. Brian began his banking career at Chase Manhattan Bank in New York where he established and managed the Real Estate Lending Department of Chase Private Banking. Brian has over 30 years of consulting experience working with high net worth individuals, families, and businesses.
Brian is an Insurance Planning Director and a Certified Financial Planner™, holds his Series 7 and 66 FINRA licenses, his Insurance License and is certified in Long-Term Care. Both Brian’s undergraduate and graduate studies were in Economics and Finance at Fairfield University.
Brian and his wife have three children and live in Fairfield, CT. Through the years he has enjoyed coaching a variety of sports, particularly lacrosse, playing golf, bicycling and hiking. Brian is the Chairman of the Fairfield Parks and Recreation Department and also volunteers with a number of committees at B’Nai Israel.
Securities Agent: MI, CO, CA, TN, NY, NC, SC, OH, MA, DE, MT, FL, AL, VA, NH, MO, MN, OR, MD, IL, GA, CT, VT, TX, NM, NJ, IN, WA, RI, ME, DC, WY, PA, HI; General Securities Representative; Investment Advisor Representative
NMLS#: 1268446
CA Insurance License #: 0E19970
NMLS#: 1268446
CA Insurance License #: 0E19970
About Paul Fitzsimmons
Paul J. Fitzsimmons, CFP®, CRPC®, CRPS®
Corporate Retirement Director
Senior Vice President - Wealth Management
Financial Advisor
Paul is a Financial Advisor and Senior Vice President at Morgan Stanley. He joined the firm at the end of 2008, as a Senior Member of The Wood Group. Paul focuses on the Group’s efforts in the Corporate Qualified Plan area which includes Defined Contribution and Benefit Plans, Endowments and Foundations. Paul is a Corporate Retirement Director, a Certified Financial Planner™, a Chartered Retirement Plan Consultant, and a Chartered Retirement Plan SpecialistSM, who holds a MBA from the University of Connecticut.
Prior to joining Morgan Stanley, Paul was at Merrill Lynch for eight years, two years as the District Trust Manager of the Metropolitan New York Area and then six years as a Senior member with The Wood Group. Paul also spent 14 years as a Senior Vice President at FleetBoston Corporation where he served as a Trust/Estate Planning Development Officer.
He holds Series 7, 31 and 66 FINRA licenses. He also holds insurance and long term care licenses. Paul completed his undergraduate studies at Northeastern University where he also participated in the schools Division I Ice Hockey Program. Paul played briefly with the Boston Bruins before pursuing a career in financial services.
Paul and his wife have 2 children and live in Southport, CT. He enjoys golf, riding his motorcycle and hockey.
Corporate Retirement Director
Senior Vice President - Wealth Management
Financial Advisor
Paul is a Financial Advisor and Senior Vice President at Morgan Stanley. He joined the firm at the end of 2008, as a Senior Member of The Wood Group. Paul focuses on the Group’s efforts in the Corporate Qualified Plan area which includes Defined Contribution and Benefit Plans, Endowments and Foundations. Paul is a Corporate Retirement Director, a Certified Financial Planner™, a Chartered Retirement Plan Consultant, and a Chartered Retirement Plan SpecialistSM, who holds a MBA from the University of Connecticut.
Prior to joining Morgan Stanley, Paul was at Merrill Lynch for eight years, two years as the District Trust Manager of the Metropolitan New York Area and then six years as a Senior member with The Wood Group. Paul also spent 14 years as a Senior Vice President at FleetBoston Corporation where he served as a Trust/Estate Planning Development Officer.
He holds Series 7, 31 and 66 FINRA licenses. He also holds insurance and long term care licenses. Paul completed his undergraduate studies at Northeastern University where he also participated in the schools Division I Ice Hockey Program. Paul played briefly with the Boston Bruins before pursuing a career in financial services.
Paul and his wife have 2 children and live in Southport, CT. He enjoys golf, riding his motorcycle and hockey.
Securities Agent: TX, OH, DE, WY, IL, VA, CO, SC, PA, NJ, NH, MO, MD, TN, OR, MT, ME, MA, CT, RI, NM, NC, IN, CA, DC, WA, NY, MI, MN, GA, FL, AL, HI, VT; General Securities Representative; Investment Advisor Representative; Managed Futures
NMLS#: 1268460
NMLS#: 1268460
About Carolina McGoey
Carolina McGoey, CFP®, QPFC
Insurance Planning Director, Workplace Advisor – Equity Compensation
Associate Vice President, Financial Advisor
Carolina McGoey is a Financial Advisor with The Wood Group at Morgan Stanley, bringing more than 20 years of experience across wealth management, business consulting, and corporate treasury operations. She works with high-net-worth and ultra-high-net-worth individuals and families, as well as business owners, helping them make informed decisions around wealth strategy, risk management, and long-range planning—often in the context of complex family, business, and compensation considerations.
Carolina joined Morgan Stanley in 2015 and also leads the team’s marketing and business development initiatives. As a CFP® professional, she helps develop and monitor comprehensive financial plans designed to keep clients aligned with their goals as life evolves. As Insurance Planning Director, she helps clients evaluate risk exposures and consider strategies to address potential coverage gaps. As a Qualified Plan Financial Consultant (QPFC), she supports the team’s work with corporate retirement plans, partnering with plan sponsors on plan-related priorities. As a Workplace Advisor – Equity Compensation, she supports clients navigating equity compensation and related planning conversations.
Carolina is part of Women in Wealth of Stamford, a group of Morgan Stanley female Financial Advisors committed to helping women build confidence and clarity around their financial lives through education, resources, and engagement.
Active in her community, Carolina serves as Chair of the Board of the YWCA Darien/Norwalk and chairs its Women of Distinction event. She also serves on the Board of Directors of the Wave Strong Foundation and supports the Building One Community Annual Benefit. She previously served for seven years as an elected member of the Darien RTM, including as Chair representing District 3 and served on the DHSPA executive board for eight years.
Originally from Venezuela, Carolina earned her undergraduate degree in Business from Universidad Metropolitana and a Master’s in Finance from IESA. She is fluent in English, Spanish, French, and Portuguese and lives in Darien, CT with her husband, two daughters, and their Australian Labradoodle.
Carolina is a Pacesetters Club member (since 2021) and holds Series 7 and Series 66 licenses, as well as Insurance and Long-Term Care licenses.
Insurance Planning Director, Workplace Advisor – Equity Compensation
Associate Vice President, Financial Advisor
Carolina McGoey is a Financial Advisor with The Wood Group at Morgan Stanley, bringing more than 20 years of experience across wealth management, business consulting, and corporate treasury operations. She works with high-net-worth and ultra-high-net-worth individuals and families, as well as business owners, helping them make informed decisions around wealth strategy, risk management, and long-range planning—often in the context of complex family, business, and compensation considerations.
Carolina joined Morgan Stanley in 2015 and also leads the team’s marketing and business development initiatives. As a CFP® professional, she helps develop and monitor comprehensive financial plans designed to keep clients aligned with their goals as life evolves. As Insurance Planning Director, she helps clients evaluate risk exposures and consider strategies to address potential coverage gaps. As a Qualified Plan Financial Consultant (QPFC), she supports the team’s work with corporate retirement plans, partnering with plan sponsors on plan-related priorities. As a Workplace Advisor – Equity Compensation, she supports clients navigating equity compensation and related planning conversations.
Carolina is part of Women in Wealth of Stamford, a group of Morgan Stanley female Financial Advisors committed to helping women build confidence and clarity around their financial lives through education, resources, and engagement.
Active in her community, Carolina serves as Chair of the Board of the YWCA Darien/Norwalk and chairs its Women of Distinction event. She also serves on the Board of Directors of the Wave Strong Foundation and supports the Building One Community Annual Benefit. She previously served for seven years as an elected member of the Darien RTM, including as Chair representing District 3 and served on the DHSPA executive board for eight years.
Originally from Venezuela, Carolina earned her undergraduate degree in Business from Universidad Metropolitana and a Master’s in Finance from IESA. She is fluent in English, Spanish, French, and Portuguese and lives in Darien, CT with her husband, two daughters, and their Australian Labradoodle.
Carolina is a Pacesetters Club member (since 2021) and holds Series 7 and Series 66 licenses, as well as Insurance and Long-Term Care licenses.
Securities Agent: MI, ME, VT, PA, GA, WY, MT, MA, AL, NM, IN, DC, NY, NC, SC, OH, FL, CA, WA, CO, OR, NH, IL, CT, VA, TN, RI, MD, DE, NJ, HI, TX, MO, MN; General Securities Representative; Investment Advisor Representative
NMLS#: 1901112
NMLS#: 1901112
About Nisha Chisena
Nisha Chisena is a Financial Advisor and Portfolio Manager with The Wood Group at Morgan Stanley, where she serves as the team’s Chief Investment Officer. With more than 29 years of investment management experience and a tenure at Morgan Stanley dating back to 2016, Nisha leads the team’s investment strategy and portfolio construction process, with a focus on asset allocation, risk management, and disciplined implementation tailored to each client’s goals and objectives.
Nisha plays a key role in strengthening the team’s quantitative and analytical capabilities, helping support thoughtful, informed decision-making across changing market environments. She brings particular expertise in evaluating alternative investments and advising clients on strategies that extend beyond traditional asset classes as part of a comprehensive wealth management approach.
Before joining The Wood Group in 2022, Nisha spent 19 years at Merrill Lynch. Earlier in her career, she worked in the firm’s International Division, managing investment portfolios and foreign currency strategies for clients across Western Europe and West Africa. She later built extensive experience advising a diverse range of U.S.-based clients, including women navigating major life transitions such as divorce, the loss of a spouse, or sudden financial independence, members of the LGBTQ+ community, and executives in the fashion industry.
Nisha is an active member of Women in Wealth of Stamford, a Morgan Stanley network of female Financial Advisors focused on education, collaboration, and empowering women to make informed financial decisions with confidence.
Nisha earned a degree in Mathematics from Tulane University and holds the Series 7 and Series 66 licenses, as well as insurance and long-term care insurance licenses.
She lives in Westport, Connecticut, with her husband and two children. Outside of work, Nisha enjoys travel, music, and skiing. A passionate musician, she is also the lead singer of a rock band and is fluent in both English and French.
Nisha plays a key role in strengthening the team’s quantitative and analytical capabilities, helping support thoughtful, informed decision-making across changing market environments. She brings particular expertise in evaluating alternative investments and advising clients on strategies that extend beyond traditional asset classes as part of a comprehensive wealth management approach.
Before joining The Wood Group in 2022, Nisha spent 19 years at Merrill Lynch. Earlier in her career, she worked in the firm’s International Division, managing investment portfolios and foreign currency strategies for clients across Western Europe and West Africa. She later built extensive experience advising a diverse range of U.S.-based clients, including women navigating major life transitions such as divorce, the loss of a spouse, or sudden financial independence, members of the LGBTQ+ community, and executives in the fashion industry.
Nisha is an active member of Women in Wealth of Stamford, a Morgan Stanley network of female Financial Advisors focused on education, collaboration, and empowering women to make informed financial decisions with confidence.
Nisha earned a degree in Mathematics from Tulane University and holds the Series 7 and Series 66 licenses, as well as insurance and long-term care insurance licenses.
She lives in Westport, Connecticut, with her husband and two children. Outside of work, Nisha enjoys travel, music, and skiing. A passionate musician, she is also the lead singer of a rock band and is fluent in both English and French.
Securities Agent: OR, NM, WA, MT, MO, MI, IN, AL, NH, MN, GA, DC, TN, ME, MD, HI, RI, FL, NC, OH, NJ, CO, MA, DE, CA, WY, PA, CT, VT, VA, NY, TX, SC, IL; General Securities Representative; Investment Advisor Representative
NMLS#: 533384
NMLS#: 533384
About Richard Stone
Richard M. Stone
Senior Vice President – Wealth Management
Financial Advisor – Senior Portfolio Management Director
Rick is a Financial Advisor, a Senior Portfolio Management Director as well as a Senior Vice President at Morgan Stanley. He is responsible for the portfolio construction and management of High Net Worth accounts for individuals, trusts, foundations and partnerships. He reviews portfolio holdings and portfolio measurements and makes adjustments to asset allocations while being especially sensitive to the tax exposure of this unique client base.
Prior to joining Morgan Stanley at the end of 2015 and associating with The Wood Group, Rick spent thirteen years in the Private Wealth Management group of UBS. He also spent five years with the Wealthy Family segment of the Chase Private Bank as a Financial Advisor and consultant to high net worth family members, their advisors, attorneys and accountants. Many of his clients, American citizens, have homes and financial interests, all over the world, requiring individual attention to their unique financial needs.
Rick holds a B.A. in English from Adelphi University and a MS in Business finance from Columbia University’s Graduate School of Business. He is Series 7 and 66 FINRA licensed.
Rick and his wife, Christie, have two children. They live in Palm Beach, Fl and spend part of their time in Darien, CT. Rick enjoys the theater, golf, traveling and Major League baseball.
Senior Vice President – Wealth Management
Financial Advisor – Senior Portfolio Management Director
Rick is a Financial Advisor, a Senior Portfolio Management Director as well as a Senior Vice President at Morgan Stanley. He is responsible for the portfolio construction and management of High Net Worth accounts for individuals, trusts, foundations and partnerships. He reviews portfolio holdings and portfolio measurements and makes adjustments to asset allocations while being especially sensitive to the tax exposure of this unique client base.
Prior to joining Morgan Stanley at the end of 2015 and associating with The Wood Group, Rick spent thirteen years in the Private Wealth Management group of UBS. He also spent five years with the Wealthy Family segment of the Chase Private Bank as a Financial Advisor and consultant to high net worth family members, their advisors, attorneys and accountants. Many of his clients, American citizens, have homes and financial interests, all over the world, requiring individual attention to their unique financial needs.
Rick holds a B.A. in English from Adelphi University and a MS in Business finance from Columbia University’s Graduate School of Business. He is Series 7 and 66 FINRA licensed.
Rick and his wife, Christie, have two children. They live in Palm Beach, Fl and spend part of their time in Darien, CT. Rick enjoys the theater, golf, traveling and Major League baseball.
Securities Agent: ME, GA, NC, MA, IL, CO, AL, VT, NY, MN, FL, CA, WA, TN, PA, OR, OH, NJ, MI, CT, SC, MO, DE, DC, VA, MT, RI, WY, NH, TX, NM, MD; General Securities Representative; Investment Advisor Representative
NMLS#: 1523459
NMLS#: 1523459
About Huntington Simmons
Huntington “Tack” Simmons joined the Wood Group at Morgan Stanley Wealth Management in March 2025 as a Senior Portfolio Manager and Financial Advisor. After dedicating the last twelve years to building his own practice, Tack brings a rare level of experience and expertise to the team.
Prior to his transition into advisory, Tack spent twenty years in institutional sales and trading. His extensive knowledge of both equity and fixed-income products, coupled with his seasoned perspective on the financial marketplace, has consistently enabled him to deliver value to his clients.
As a member of the Wood Group’s investment team, Tack will collaborate with clients to create dynamic and personalized portfolios tailored to their specific needs. Additionally, he will continue to provide comprehensive estate and financial planning services, corporate and individual retirement solutions, customized lending products, and life, long-term care, and disability insurance coverage.
Tack holds a degree in East Asian Studies from Harvard College, graduating in 1989. Following his academic pursuits, he embarked on a career in finance at Lehman Brothers, where he built his knowledge of fixed-income securities, including mortgage and asset-backed securities, corporate bonds, and US treasuries.
In 1996, seeking a change of pace and a renewed focus on credit-related products, Tack transitioned from fixed-income to equity trading at Salomon Brothers. This move proved to be a defining moment in his career, as he discovered his true calling in this dynamic arena.
After several years of success as a senior trader at Bear Stearns and UBS/Paine Webber, Tack joined CRT Capital in 2005, where he played a pivotal role in establishing and overseeing the equity trading desk. His contributions were instrumental in the department’s growth and success until his appointment at Morgan Stanley in 2012.
In his personal life, Tack resides in Wilton, Connecticut, where he is the devoted father of three children. Outside of his professional responsibilities, he has been an active member of the Wilton community, having coached football and lacrosse and served as a leader in the Cub Scouts. In his free time, when not cheering on his favorite Boston teams, Tack can be found enjoying tennis, paddle, cycling, or skiing. Additionally, he finds real fulfillment in hands-on projects, such as home renovation or working in his yard.
Prior to his transition into advisory, Tack spent twenty years in institutional sales and trading. His extensive knowledge of both equity and fixed-income products, coupled with his seasoned perspective on the financial marketplace, has consistently enabled him to deliver value to his clients.
As a member of the Wood Group’s investment team, Tack will collaborate with clients to create dynamic and personalized portfolios tailored to their specific needs. Additionally, he will continue to provide comprehensive estate and financial planning services, corporate and individual retirement solutions, customized lending products, and life, long-term care, and disability insurance coverage.
Tack holds a degree in East Asian Studies from Harvard College, graduating in 1989. Following his academic pursuits, he embarked on a career in finance at Lehman Brothers, where he built his knowledge of fixed-income securities, including mortgage and asset-backed securities, corporate bonds, and US treasuries.
In 1996, seeking a change of pace and a renewed focus on credit-related products, Tack transitioned from fixed-income to equity trading at Salomon Brothers. This move proved to be a defining moment in his career, as he discovered his true calling in this dynamic arena.
After several years of success as a senior trader at Bear Stearns and UBS/Paine Webber, Tack joined CRT Capital in 2005, where he played a pivotal role in establishing and overseeing the equity trading desk. His contributions were instrumental in the department’s growth and success until his appointment at Morgan Stanley in 2012.
In his personal life, Tack resides in Wilton, Connecticut, where he is the devoted father of three children. Outside of his professional responsibilities, he has been an active member of the Wilton community, having coached football and lacrosse and served as a leader in the Cub Scouts. In his free time, when not cheering on his favorite Boston teams, Tack can be found enjoying tennis, paddle, cycling, or skiing. Additionally, he finds real fulfillment in hands-on projects, such as home renovation or working in his yard.
Securities Agent: SC, AL, WY, NH, IL, OH, MI, IN, FL, RI, NY, NC, DC, OR, MT, MO, MD, CT, WA, VA, MA, TX, TN, CA, VT, PA, MN, NJ, ME, HI, GA, DE, CO, NM; General Securities Representative; Investment Advisor Representative
NMLS#: 1290563
NMLS#: 1290563
About Shauna Simpson
Shauna Simpson joined The Wood Group at Morgan Stanley in 2019 and serves as a Wealth Management Associate, supporting the team’s commitment to delivering a high-touch and personalized client experience. In her role, Shauna works closely with both clients and advisors across a wide range of operational, administrative, and service-related functions, helping ensure seamless day-to-day execution and exceptional client care.
Since assuming her current role in 2021, Shauna has taken on expanded responsibilities supporting the advisory team and helping oversee workflow coordination and service operations within the group. Known for her organization, responsiveness, and collaborative approach, she plays an important role in maintaining the high standard of service clients expect from The Wood Group. She holds the Series 7 and 66 licenses.
Originally from the United Kingdom, Shauna earned a bachelor’s degree in Physical Education, Sports Science, and Psychology, as well as a master’s degree in Applied Sport and Exercise Psychology. Before transitioning into financial services, she spent more than a decade working in product development and product management for global brands including Adidas and Jantzen Swimwear.
Shauna has also built a diverse background in health, wellness, and coaching. She is a certified Integrative Nutrition Health Coach, spinning instructor, and U.S. Masters Swimming coach, and previously owned her own health and exercise coaching business.
She lives in Connecticut with her husband, son, and German Shorthaired Pointer Mostyn. Outside of work, Shauna enjoys traveling, cooking, gardening, hiking, and competitive swimming.
Since assuming her current role in 2021, Shauna has taken on expanded responsibilities supporting the advisory team and helping oversee workflow coordination and service operations within the group. Known for her organization, responsiveness, and collaborative approach, she plays an important role in maintaining the high standard of service clients expect from The Wood Group. She holds the Series 7 and 66 licenses.
Originally from the United Kingdom, Shauna earned a bachelor’s degree in Physical Education, Sports Science, and Psychology, as well as a master’s degree in Applied Sport and Exercise Psychology. Before transitioning into financial services, she spent more than a decade working in product development and product management for global brands including Adidas and Jantzen Swimwear.
Shauna has also built a diverse background in health, wellness, and coaching. She is a certified Integrative Nutrition Health Coach, spinning instructor, and U.S. Masters Swimming coach, and previously owned her own health and exercise coaching business.
She lives in Connecticut with her husband, son, and German Shorthaired Pointer Mostyn. Outside of work, Shauna enjoys traveling, cooking, gardening, hiking, and competitive swimming.
About Estefanía Munguía
Estefanía Munguía joined The Wood Group at Morgan Stanley in 2022 as a Service Associate and Portfolio Associate, where she supports the team’s operations, client service, investment management, and financial planning efforts. Working closely with both the advisory and investment teams, Estefanía helps coordinate day-to-day activities and contributes to delivering a seamless, responsive, and high-touch client experience.
She earned her Bachelor of Business Administration in Finance from the Zicklin School of Business at Baruch College. Her academic background in finance, combined with her detail-oriented and collaborative approach, supports the team’s commitment to exceptional client service and operational excellence.
Estefanía lives in Larchmont, New York, and is fluent in both Spanish and English. Outside of work, she enjoys reading, visiting museums, and spending time with her family.
*This role cannot solicit or provide investment advice.
She earned her Bachelor of Business Administration in Finance from the Zicklin School of Business at Baruch College. Her academic background in finance, combined with her detail-oriented and collaborative approach, supports the team’s commitment to exceptional client service and operational excellence.
Estefanía lives in Larchmont, New York, and is fluent in both Spanish and English. Outside of work, she enjoys reading, visiting museums, and spending time with her family.
*This role cannot solicit or provide investment advice.
About Brenner Anderson
Brenner Anderson joined The Wood Group at Morgan Stanley in 2025 as a Registered Client Service Associate. In his role, he supports the team’s client service, financial planning, and investment advisory efforts, helping deliver a responsive and high-quality client experience.
Prior to joining The Wood Group, Brenner spent several years working across the finance, reinsurance, and capital markets industries, where he gained experience structuring complex financial transactions and advising institutional clients. He began his career as a proprietary equity trader, developing short-term and event-driven trading strategies with a focus on IPO markets.
Brenner brings a strong analytical background, market knowledge, and client-focused approach to the team, supporting both operational execution and the firm’s broader wealth management and corporate planning initiatives.
He earned a Bachelor of Business Administration in Finance from the University of Miami. Brenner lives in Stamford, Connecticut, and outside of work enjoys staying active through tennis, pickleball, and hiking, as well as spending time with his family.
Prior to joining The Wood Group, Brenner spent several years working across the finance, reinsurance, and capital markets industries, where he gained experience structuring complex financial transactions and advising institutional clients. He began his career as a proprietary equity trader, developing short-term and event-driven trading strategies with a focus on IPO markets.
Brenner brings a strong analytical background, market knowledge, and client-focused approach to the team, supporting both operational execution and the firm’s broader wealth management and corporate planning initiatives.
He earned a Bachelor of Business Administration in Finance from the University of Miami. Brenner lives in Stamford, Connecticut, and outside of work enjoys staying active through tennis, pickleball, and hiking, as well as spending time with his family.
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Hear From Our Clients
The Wood Group's financial planning process helped us feel heard and confident that what mattered most to us was reflected in our plan. We appreciated how clearly the team walked us through the numbers, including where assumptions were conservative. We really feel like we are in great hands with this fantastic team.
Linda
Verified ClientMay 26, 2026
Testimonial(s) solicited by Morgan Stanley and provided by current client(s) at the time of publication. No compensation of any kind was provided in exchange for the client testimonial(s) presented. Client testimonials may not be representative of the experience of other clients and are not a guarantee of future performance or success.
5285589 3/2026
Awards and Recognition
Forbes Best-In-State Wealth Management Teams
2023-2026 Forbes Best-In-State Wealth Management Teams Source: Forbes.com (Awarded 2023-2026). Data compiled by SHOOK Research LLC based on 12-month time period concluding in March of year prior to the issuance of the award.
NAPA's Top DC Advisor Teams
2024-2026 NAPA's Top DC Advisor Teams Source: Source: napa-net.org (Awarded 2024-2026) Data compiled by NAPA based on self-reported assets under advisement as of Dec 31 of the year prior to year the award was given.
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Wealth Management
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Financial Planning for Life After Selling a Business
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We can provide the tools and guidance to help you manage a retirement plan.
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Enhancing Financial Wellness enables your workforce to do their best work. Companies that invest in financial wellness have an opportunity to:
- Reduce employee stress,
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- Set themselves apart by offering comprehensive financial wellness benefits.
Ready to start a conversation? Contact THE WOOD GROUP today.
Certified Financial Planner Board of Standards Center for Financial Planning, Inc. owns and licenses the certification marks CFP®, CERTIFIED FINANCIAL PLANNER®, and CFP® (with plaque design) in the United States to Certified Financial Planner Board of Standards, Inc., which authorizes individuals who successfully complete the organization’s initial and ongoing certification requirements to use the certification marks.
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.
2Morgan 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.
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 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.
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.
6Insurance products are offered in conjunction with Morgan Stanley Smith Barney LLC’s licensed insurance agency affiliates.
7Morgan 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
8Alternative Investments are speculative and include a high degree of risk. An investor could lose all or a substantial amount of his/her investment. Alternative investments are appropriate only for qualified, long-term investors who are willing to forgo liquidity and put capital at risk for an indefinite period of time.
Check the background of our Firm and Investment Professionals on FINRA's BrokerCheck*.
The information, products and services described here are intended only for individuals residing in states where this Financial Advisor is properly registered as described in this site.
Morgan Stanley reserves the right, to the extent permitted under applicable law, to retain and monitor all electronic communications. Morgan Stanley will not accept purchase or sale orders via any Internet site, social media site and/or its messaging systems. Morgan Stanley does not endorse and is not responsible and assumes no liability for content, products or services posted by third-parties on any Internet site, social media site and/or its messaging systems. All electronic communications are subject to terms available at the following link:
https://www.morganstanley.com/disclaimers/mswm-email.html. Any profiles and associated content are for U.S. residents only.
The securities/instruments, services, investments and investment strategies discussed in this material may not be appropriate for all investors. The appropriateness of a particular investment, investment strategy or service will depend on an investor's individual circumstances and objectives. Morgan Stanley Smith Barney LLC recommends that investors independently evaluate particular investments, strategies and services, and encourages investors to seek the advice of a Financial Advisor or Private Wealth Advisor. This material does not provide individually tailored investment advice. It has been prepared without regard to the individual financial circumstances and objectives of persons who receive it.
Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors or Private Wealth Advisors do not provide tax or legal advice. Individuals should consult their tax advisor for matters involving taxation and tax planning and their attorney for legal matters.
Morgan Stanley Smith Barney LLC (“Morgan Stanley”) is not implying an affiliation, sponsorship, endorsement with/of the third party or that any monitoring is being done by Morgan Stanley of any information contained within the website. Morgan Stanley is not responsible for the information contained on the third-party website or the use of or inability to use such site. Nor do we guarantee their accuracy or completeness.
The views, opinions or advice contained within third party websites or materials are solely those of the author, who is not a Morgan Stanley employee, and do not necessarily reflect those of Morgan Stanley Smith Barney LLC, or its affiliates. The strategies and/or investments referenced may not be appropriate for all investors as the appropriateness of a particular investment or strategy will depend on an investor's individual circumstances and objectives.
*References to length of service at Morgan Stanley include years at Morgan Stanley and predecessor firms.
Certified Financial Planner Board of Standards Center for Financial Planning, Inc. owns and licenses the certification marks CFP®, CERTIFIED FINANCIAL PLANNER®, and CFP® (with plaque design) in the United States to Certified Financial Planner Board of Standards, Inc., which authorizes individuals who successfully complete the organization's initial and ongoing certification requirements to use the certification marks.
The use of the CDFA designation does not permit the rendering of legal advice by Morgan Stanley or its Financial Advisors which may only be done by a licensed attorney. The CDFA designation is not intended to imply that either Morgan Stanley or its Financial Advisors are acting as experts in this field.
Awards Disclosures | Morgan Stanley
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.
2Morgan 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.
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 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.
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.
6Insurance products are offered in conjunction with Morgan Stanley Smith Barney LLC’s licensed insurance agency affiliates.
7Morgan 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
8Alternative Investments are speculative and include a high degree of risk. An investor could lose all or a substantial amount of his/her investment. Alternative investments are appropriate only for qualified, long-term investors who are willing to forgo liquidity and put capital at risk for an indefinite period of time.
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.
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Awards Disclosures | Morgan Stanley
CRC 4665150 (8/2025)
