Mark Farley is a CFP-designated registered investment advisor at Morgan Stanley, based in New York, NY, with 42 years of industry experience. Mark is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, High Net Worth, Investment Management, Retirement Planning. Their firm serves 2,703,720 clients with $2000B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Morgan Stanley Smith Barney LLC charges a fee for its consulting services, which is generally payable quarterly in advance. The maximum fee for the services is $500,000, and fees are negotiable between the client and their private wealth advisor.
Location
399 Park Avenue, 12th Floor, New York, NY, 10022
Get directionsHistory
Regulatory History
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
Morgan StanleyBroker
Previous Registrations
Citigroup Global Markets INC.Broker
Drexel Burnham Lambert IncorporatedBroker
State Registrations42 states
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
More Advisors
- David LewMorgan Stanley
- Jonathan BernsteinMorgan Stanley
- Neil SternMorgan Stanley
- Grayson CookMorgan Stanley
- Barry Siegel, CFPMorgan Stanley
- James Deleener, CFAMorgan Stanley