Diane Roberts is a registered investment advisor at Morgan Stanley, based in Philadelphia, PA, with 34 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,539,760 clients with $1700B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23050 advisors
IM Fee
Planning only
Assets Under Management
$1650.0B
Fee Structure
Investment management only (planning not offered)
Annual Retainer:Up to $500,000/year
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Location
1650 Market Street 42nd Floor, Philadelphia, PA, 19103
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Morgan Stanley
April 2014 - Present · 12 yrs 1 mo
Morgan Stanley
December 2013 - Present · 12 yrs 5 mos
Morgan StanleyBroker
December 2013 - Present · 12 yrs 5 mos
Previous Registrations
Sig Brokerage, LPBroker
October 2000 - February 2007 · 6 yrs 4 mos
Susquehanna Capital GroupBroker
January 1999 - July 2013 · 14 yrs 6 mos
Susquehanna Financial Group, LllpBroker
September 1998 - August 2013 · 14 yrs 11 mos
First Colonial Securities Group, INC.Broker
September 1992 - August 1998 · 5 yrs 11 mos
Rutherford, Brown & Catherwood, INC.Broker
March 1991 - April 1992 · 1 yr 1 mo
Alex. Brown & Sons IncorporatedBroker
September 1990 - March 1991 · 6 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.