NR
CFP
NR
CFP
Norman Robertson
42 Years of Experience
Montecito, CA
2 DisclosuresBroker
Norman Robertson is a CFP-designated registered investment advisor at Morgan Stanley, based in Montecito, CA, with 42 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
1111 Coast Village Road, Montecito, CA, 93108
Get directionsHistory
Regulatory History (2)
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Regulatory
October 1996Final
Regulatory
March 1994Final
Other Business Activities
Norman owns rental property in Carpinteria, California since 2020 and is a 50% owner. He also serves on the investment committee for Standing Together To End Sexual Assault (STESA) in Santa Barbara, dedicating minimal time to each activity.
Employment History
Current Registrations
Morgan Stanley
May 2017 - Present · 9 yrs
Morgan StanleyBroker
May 2017 - Present · 9 yrs
Previous Registrations
Wells Fargo Clearing Services, LLC
July 2003 - May 2017 · 13 yrs 10 mos
Wells Fargo Clearing Services, LLCBroker
July 2003 - May 2017 · 13 yrs 10 mos
Prudential Securities Incorporated
July 1997 - July 2003 · 6 yrs
Prudential Securities IncorporatedBroker
October 1992 - July 2003 · 10 yrs 9 mos
Lehman Brothers INC.Broker
August 1989 - October 1992 · 3 yrs 2 mos
Talley, Mcneil & Tormey, INC.Broker
September 1987 - August 1989 · 1 yr 11 mos
Prudential-Bache Securities INC.Broker
September 1983 - September 1987 · 4 yrs
Ids Marketing CorporationBroker
June 1983 - March 1985 · 1 yr 9 mos
State Registrations18 states
AKAZCACOCTFLIAILMAMIMOMTNVORTNTXUTWA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.