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James Small
42 Years of Experience
West Conshohocken, PA
4 DisclosuresBroker
James Small is a registered investment advisor at Morgan Stanley, based in West Conshohocken, PA, 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
100 Front Street, Suite 600, West Conshohocken, PA, 19428
Get directionsHistory
Regulatory History (4)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
June 2019Settled
Customer Dispute
February 2008Denied
Customer Dispute
December 2005Denied
Regulatory
February 1996Final
Other Business Activities
James is a partner at Windemeade Partners LLC, a real estate company, since 2010. He spends minimal time on this activity, making investment decisions and providing advice.
Employment History
Current Registrations
Morgan Stanley
September 2020 - Present · 5 yrs 10 mos
Morgan StanleyBroker
September 2020 - Present · 5 yrs 10 mos
Morgan Stanley
September 2020 - Present · 5 yrs 10 mos
Previous Registrations
UBS Financial Services INC.Broker
January 2009 - September 2020 · 11 yrs 8 mos
UBS Financial Services INC.
January 2009 - September 2020 · 11 yrs 8 mos
Morgan Stanley & CO. Incorporated
April 2007 - January 2009 · 1 yr 9 mos
Morgan Stanley & CO. IncorporatedBroker
April 2007 - January 2009 · 1 yr 9 mos
Morgan Stanley
May 2006 - April 2007 · 11 mos
Morgan Stanley Dw INC.Broker
July 1983 - April 2007 · 23 yrs 9 mos
State Registrations36 states
AZCACOCTDCDEFLGAHIILLAMAMDMEMIMNMSMTNCNHNJNVNYOHORPARISCTNTXUTVAVTWAWVWY
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.