AR
CFP
AR
CFP
Anne Rutherford is a CFP-designated registered investment advisor at Morgan Stanley, based in New York, NY, with 41 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
55 East 52nd Street, 12th Floor, New York, NY, 10055
Get directionsHistory
Regulatory History (5)
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
March 2017Settled
Customer Dispute
May 2013Settled
Customer Dispute
March 2005Denied
Customer Dispute
January 2001Denied
Customer Dispute
November 1990Settled
Other Business Activities
Anne owns rental property in Gloucester, MA, since 1970. This activity requires minimal time and is investment-related.
Employment History
Current Registrations
Morgan Stanley
May 2020 - Present · 6 yrs
Morgan StanleyBroker
June 2009 - Present · 16 yrs 11 mos
Previous Registrations
Citigroup Global Markets INC.Broker
March 1994 - June 2009 · 15 yrs 3 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
August 1986 - March 1994 · 7 yrs 7 mos
Smith Barney, Harris Upham & CO., IncorporatedBroker
October 1984 - April 1986 · 1 yr 6 mos
State Registrations38 states
AKALARAZCACOCTDCDEFLGAIAILINLAMAMDMEMIMONCNHNJNVNYOHORPARISCTNTXUTVAVTWAWIWV
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.