Vice President, Wealth Management, Financial Advisor, Certified Private Wealth Advisor®, Portfolio Manager, Workplace Advisor – Equity Compensation, Financial Wellness, Retirement
Thompson-Goggin at Morgan Stanley
Direct:
(925) 746-2913(925) 746-2913
Our Mission Statement
Our goal is to turn complexity into simplicity. Working with both sides of the balance sheet, we design sophisticated strategies to help simplify your life and enhance the impact you want your wealth to have. With over 46 cumulative years in the wealth management business, we bring a deep level of experience and knowledge to help you navigate the many twists and turns of managing your wealth and fulfilling your vision.
Our Story and Services
Our goal is to turn complexity into simplicity. Working with both sides of the balance sheet, we design sophisticated strategies to help simplify your life and enhance the impact you want your wealth to have. With over 46 cumulative years in the wealth management business, we bring a deep level of experience and knowledge to help you navigate the many twists and turns of managing your wealth and fulfilling your vision.
In addition to the various licenses, we are required to hold, we also have Certified Financial Planner (CFP®) and Certified Private Wealth Advisor (CPWA®) designations on our team. The rigorous requirements of these designations include experience, ethics, exams and continuing education. Our commitment to maintaining these designations helps us to stay updated on the wide range of complex issues our clients are faced with.
There are two major contributors in Scott’s life that help him frame conversations with clients. First and foremost is his background in electrical engineering. As an engineer, he was trained to seek out and understand the basic building blocks of any system. This helps him to easily communicate ideas and solve problems as they arise. The second is his passion for teaching. His mother was a teacher and instilled in him a way of communicating that is crucial to helping clients. He tries to keep things as simple as possible and consistently checks in for feedback from our clients.
Stephany grew up as a ski racer on the Women’s World Pro Tour and traveled the world at a young age. Later in her career she ran Global Training for Merrill Lynch and traveled the world a second time seeing it through a different lens. Her life experiences have given her a perspective that helps her better understand what challenges may lay ahead for each client and their family, and in turn, identify which strategies to use to keep them on course.
We pride ourselves on maintaining a healthy work-life balance. Our families are the cornerstone of all that we do. Maintaining avid winter expeditions to Lake Tahoe, playing tennis, golfing, and sailing in the bay with our families keeps us centered.
In addition to the various licenses, we are required to hold, we also have Certified Financial Planner (CFP®) and Certified Private Wealth Advisor (CPWA®) designations on our team. The rigorous requirements of these designations include experience, ethics, exams and continuing education. Our commitment to maintaining these designations helps us to stay updated on the wide range of complex issues our clients are faced with.
There are two major contributors in Scott’s life that help him frame conversations with clients. First and foremost is his background in electrical engineering. As an engineer, he was trained to seek out and understand the basic building blocks of any system. This helps him to easily communicate ideas and solve problems as they arise. The second is his passion for teaching. His mother was a teacher and instilled in him a way of communicating that is crucial to helping clients. He tries to keep things as simple as possible and consistently checks in for feedback from our clients.
Stephany grew up as a ski racer on the Women’s World Pro Tour and traveled the world at a young age. Later in her career she ran Global Training for Merrill Lynch and traveled the world a second time seeing it through a different lens. Her life experiences have given her a perspective that helps her better understand what challenges may lay ahead for each client and their family, and in turn, identify which strategies to use to keep them on course.
We pride ourselves on maintaining a healthy work-life balance. Our families are the cornerstone of all that we do. Maintaining avid winter expeditions to Lake Tahoe, playing tennis, golfing, and sailing in the bay with our families keeps us centered.
Check the background of Our Firm and Investment Professionals on FINRA's BrokerCheck.*
Working With You
Working With You
Simplify
We provide a dynamic interactive electronic financial plan to help you understand how different strategies/solution may impact your future.
Reduce the Stress of Investing
Using the risk/return profile and targeted return rates from your financial plan we create an actively managed portfolio that aligns with your financial plan. We have found this helps keep the focus on long term goals rather than short term volatility and helps reduce stress.
Both Sides of the Balance Sheet
We also provide lending solutions that include security-based lending, a variety of mortgages and where appropriate tailored lending solutions.
Access
You have direct access to team members via phone, in person meetings, zoom, text and email as well as digital access through Morgan Stanley Online. Periodic reviews are customized to your preferences.
We provide a dynamic interactive electronic financial plan to help you understand how different strategies/solution may impact your future.
Reduce the Stress of Investing
Using the risk/return profile and targeted return rates from your financial plan we create an actively managed portfolio that aligns with your financial plan. We have found this helps keep the focus on long term goals rather than short term volatility and helps reduce stress.
Both Sides of the Balance Sheet
We also provide lending solutions that include security-based lending, a variety of mortgages and where appropriate tailored lending solutions.
Access
You have direct access to team members via phone, in person meetings, zoom, text and email as well as digital access through Morgan Stanley Online. Periodic reviews are customized to your preferences.
Investment Philosophy
The cornerstone of our Investment Philosophy is Critical Thinking. We believe in a strategic, long-term approach to growing and helping to protect your wealth. The process we use incorporates the follow steps:
Behavioral Finance
We believe in maintaining a disciplined, strategic, long-term view on the markets. We understand that investors are not always rational and are influenced by the latest breaking news or “fear of missing out”. Our approach works to help avoid those costly mistakes.
Allocation
The next step in our process is “Asset Allocation” which determines both the amount of risk the portfolio will experience, as well as the return you can expect; the “Risk Adjusted Return”. We also pay close attention to “Location Allocation” which can impact your after-tax returns.
Excess Returns “Alpha”
Using a quantitative process, we screen for investments/managers that have passed Morgan Stanley’s due diligence process and have a risk adjusted return above the appropriate benchmark.
Tax Efficiency
Asset allocation and manager/investment selection are the primary drivers of investment results on a pretax basis. Incorporating location allocation and tax-sensitive investing into the daily trading activity of your portfolio can capitalize on market fluctuations and potentially yield better after-tax results.
Behavioral Finance
We believe in maintaining a disciplined, strategic, long-term view on the markets. We understand that investors are not always rational and are influenced by the latest breaking news or “fear of missing out”. Our approach works to help avoid those costly mistakes.
Allocation
The next step in our process is “Asset Allocation” which determines both the amount of risk the portfolio will experience, as well as the return you can expect; the “Risk Adjusted Return”. We also pay close attention to “Location Allocation” which can impact your after-tax returns.
Excess Returns “Alpha”
Using a quantitative process, we screen for investments/managers that have passed Morgan Stanley’s due diligence process and have a risk adjusted return above the appropriate benchmark.
Tax Efficiency
Asset allocation and manager/investment selection are the primary drivers of investment results on a pretax basis. Incorporating location allocation and tax-sensitive investing into the daily trading activity of your portfolio can capitalize on market fluctuations and potentially yield better after-tax results.
Executive Services
We help you navigate the complexities of your executive compensation/benefits. By working with your tax and legal professionals we can help design a tax efficient financial plan to help protect/manage your wealth and avoid costly mistakes.
In addition to preparing your financial plan our team will:
• Help simplify the complex SEC rules, trading restrictions and reporting requirements
• Provide you with a private banker and custom liquidity solutions
• Recommend alternative investments to diversify/hedge your concentrated positions in a tax efficient manner
As your career and goals evolve, we will develop new strategies to continue to help protect, preserve and manage your wealth. Many of our clients find our Family Office Group and Outsource Chief Investment Office are valuable resource as their wealth grows
In addition to preparing your financial plan our team will:
• Help simplify the complex SEC rules, trading restrictions and reporting requirements
• Provide you with a private banker and custom liquidity solutions
• Recommend alternative investments to diversify/hedge your concentrated positions in a tax efficient manner
As your career and goals evolve, we will develop new strategies to continue to help protect, preserve and manage your wealth. Many of our clients find our Family Office Group and Outsource Chief Investment Office are valuable resource as their wealth grows
Family Office Group
- Clients with $25m+ in investible assets will have access to our Family Office Group (FOG). Our Family Office Group helps clients curate and navigate an expansive suite of highly specialized resources to address the complex, multifaceted challenges of managing significant wealth so clients may make complicated decisions confidently. The methodical and comprehensive process incorporates and distinguishes among structural, behavioral and investment decisions; and leads to the creation of integrated, holistic, and customized solutions. We sequence and facilitate each step in the process by coordinating with FOG specialists across three complementary areas of expertise; Governance & Legacy, Wealth Strategies and Signature Access; to determine and assess the impact of various strategic recommendations and discrete decision making.
Outsource Chief Investment Office
- For clients with 25+ million under management we offer access to our Outsource Chief Investment Office (OCIO). The foundation of OCIO is about actively outsourcing all or some of your portfolio management duties. We take a seat next to you at the table, sharing the same sort of accountability for reporting and for making decisions based on a blueprint contained in an investment policy statement (IPS). We can help deliver governance, decipher the regulatory environment, and sift through investment options and opportunities to be more strategic and tactical in the investment portfolio. And within a particular set of constraints or objectives, OCIO acts on a client’s behalf.
Location
4309 Hacienda Drive
Ste 200
Pleasanton, CA 94588
US
Direct:
(925) 746-2913(925) 746-2913
Meet Thompson-Goggin
Senior Vice President, Wealth Management, Financial Advisor, CERTIFIED FINANCIAL PLANNER®
Phone:
(925) 730-3878(925) 730-3878
Jennie Shaw, Sr. Client Associate
Sr. Client Associate
Phone:
(925) 730-3864(925) 730-3864
About Stephany Thompson
I manage wealth for high-net-worth families, business owners, and executives. Since I started my career in 1986, I have helped individuals navigate over 20 market corrections and five major bear markets. I make it a point to listen to each client’s story to learn about their current and future lifestyle goals. Then I tailor a family wealth plan and wealth management strategies to fit each person’s unique needs. My goal is to turn complexity into simplicity.
Working with both sides of the balance sheet, I design sophisticated strategies to help simplify my clients’ financial lives.
In addition to the various licenses I am required to hold, I also have a Certified Private Wealth Advisor designation (CPWA®). The rigorous requirements of the designation includes experience, ethics, exams and continuing education. My commitment to maintaining the CPWA designation helps me to stay updated on the wide range of complex issues my clients are faced with.
I grew up as a ski racer on the Women’s World Pro Tour and traveled the world at a young age. Later in my career I ran Global Training for Merrill Lynch and traveled the world a second time seeing it through a different lens. My life experiences have given me a perspective that helps me better understand what challenges may lay ahead for each client and their family, and in turn, identify which strategies to use to keep them on course.
When I am not helping clients I volunteer on the Executive Board of Directors for the San Francisco Market, sail, and ski in exciting places around the world, and spend time with my family at home in our garden with our crazy dog, Lucy.
Working with both sides of the balance sheet, I design sophisticated strategies to help simplify my clients’ financial lives.
In addition to the various licenses I am required to hold, I also have a Certified Private Wealth Advisor designation (CPWA®). The rigorous requirements of the designation includes experience, ethics, exams and continuing education. My commitment to maintaining the CPWA designation helps me to stay updated on the wide range of complex issues my clients are faced with.
I grew up as a ski racer on the Women’s World Pro Tour and traveled the world at a young age. Later in my career I ran Global Training for Merrill Lynch and traveled the world a second time seeing it through a different lens. My life experiences have given me a perspective that helps me better understand what challenges may lay ahead for each client and their family, and in turn, identify which strategies to use to keep them on course.
When I am not helping clients I volunteer on the Executive Board of Directors for the San Francisco Market, sail, and ski in exciting places around the world, and spend time with my family at home in our garden with our crazy dog, Lucy.
Securities Agent: IL, CT, VT, OR, GA, CA, NJ, ME, MA, DC, WI, SC, NM, MN, MD, KS, FL, CO, PA, HI, UT, OH, NY, MI, ID, AZ, IA, DE, AL, RI, NV, NH, NE, WY, WA, TX, OK, MO, LA, VA, TN, NC, MT; BM/Supervisor; General Securities Representative; Investment Advisor Representative
NMLS#: 1610600
CA Insurance License #: CRD149777
NMLS#: 1610600
CA Insurance License #: CRD149777
About Scott Goggin
There are two major contributors in my life that help me frame conversations with clients. First and foremost is my background in electrical engineering. As an engineer, you are trained to seek out and understand the basic building blocks of any system which allow you to easily communicate ideas and solve problems as they arise. I have applied this philosophy throughout all aspects of my business. The second is my passion for teaching. My mother was a teacher and she instilled in me a way of communicating that I believe is crucial to helping clients. I make an effort to keep things as simple as possible and consistently check in for feedback from my clients.
Outside of the office, my family is at the center of everything that I do. I strive for a work-life balance that allows me to spend time with my wife and two daughters, maintaining avid winter expeditions to Lake Tahoe, playing tennis, and golfing. In my spare time, I enjoy electronics and wood working, having found a passion in restoring old Arcade games from the 70’s, 80’s and 90’s.
Scott Goggin is a native of Davis, CA. He holds a B.S. in Electrical Engineering from Washington University in St. Louis, a B.A. in Liberal Arts from St. Mary’s College of CA, and is a CERTIFIED FINANCIAL PLANNER™. He lives in Alamo, CA with his wife Clare and his two daughters Archer (8) and Nara (7).
Outside of the office, my family is at the center of everything that I do. I strive for a work-life balance that allows me to spend time with my wife and two daughters, maintaining avid winter expeditions to Lake Tahoe, playing tennis, and golfing. In my spare time, I enjoy electronics and wood working, having found a passion in restoring old Arcade games from the 70’s, 80’s and 90’s.
Scott Goggin is a native of Davis, CA. He holds a B.S. in Electrical Engineering from Washington University in St. Louis, a B.A. in Liberal Arts from St. Mary’s College of CA, and is a CERTIFIED FINANCIAL PLANNER™. He lives in Alamo, CA with his wife Clare and his two daughters Archer (8) and Nara (7).
Securities Agent: WA, DC, TX, SC, OR, MI, AZ, NM, NJ, MO, MD, LA, ID, GA, RI, NV, KS, IL, CT, VA, OH, NH, CO, NY, MA, TN, PA, ME, IA, DE, MN, CA, UT, NE, MT, HI, VT, WI, OK, NC, FL; General Securities Representative; Investment Advisor Representative
NMLS#: 1383199
CA Insurance License #: 0I15429
NMLS#: 1383199
CA Insurance License #: 0I15429
About Jennie Shaw
I am our teams Sr. Client Service Associate. I enjoy taking a hands-on approach to managing the administrative aspects of your financial needs. My 18 yrs of experience in various operational departments within the Wealth Management industry has given me a unique perspective on how to efficiently provide you with white glove client service.
I have a BA in Political Science from UCLA and currently hold a series 7 license. I’ve been with Morgan Stanley for 12 years, 10 of those in the Menlo Park office where most of my experience included working with stock plans, options, RSU’s, and ESPP’s. I will help you simplify the complex SEC rules, trading restrictions and reporting requirements. Prior to Morgan Stanley, I worked at First Republic Securities and Charles Schwab in San Francisco.
When I am not helping clients, I love spending time with my family. I find great joy in doing “kid activities” with my daughter and experiencing the world through her eyes.
I have a BA in Political Science from UCLA and currently hold a series 7 license. I’ve been with Morgan Stanley for 12 years, 10 of those in the Menlo Park office where most of my experience included working with stock plans, options, RSU’s, and ESPP’s. I will help you simplify the complex SEC rules, trading restrictions and reporting requirements. Prior to Morgan Stanley, I worked at First Republic Securities and Charles Schwab in San Francisco.
When I am not helping clients, I love spending time with my family. I find great joy in doing “kid activities” with my daughter and experiencing the world through her eyes.
Contact Stephany Thompson
Contact Scott Goggin
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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Mosaic
Explore ideas and inspiration with captivating, original lifestyle stories created exclusively for Morgan Stanley clients.
A Change of Greenery
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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.
Ready to start a conversation? Contact Thompson-Goggin today.
Certified Financial Planner Board of Standards, Inc. (CFP Board) owns the certification marks CFP®, CERTIFIED FINANCIAL PLANNER™, and CFP® (with plaque design) in the United States, which it authorizes use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements.
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
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)
