LM
LM
Louis Mosca is a registered investment advisor at Morgan Stanley, based in Philadelphia, 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
Loading...
Location
1650 Market Street 42nd Floor, Philadelphia, PA, 19103
Get directionsHistory
Regulatory History (1)
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
December 2007Withdrawn
Employment History
Current Registrations
Morgan Stanley
July 2013 - Present · 13 yrs
Morgan StanleyBroker
June 2009 - Present · 17 yrs 1 mo
Previous Registrations
Citigroup Global Markets INC.Broker
February 2006 - June 2009 · 3 yrs 4 mos
Legg Mason Wood Walker, IncorporatedBroker
November 1987 - February 2006 · 18 yrs 3 mos
Legg Mason Masten INC.Broker
October 1987 - November 1987 · 1 mo
Legg Mason Wood Walker, IncorporatedBroker
November 1985 - October 1987 · 1 yr 11 mos
Philips, Appel & Walden, INC.Broker
February 1984 - April 1986 · 2 yrs 2 mos
State Registrations35 states
ALAZCACOCTDCDEFLGAHIILINKSLAMAMDMEMIMOMTNCNHNJNMNVNYOHPARISCTNTXVAVTWA
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.