SG
SG
Steven Gobel is a registered investment advisor at Morgan Stanley, based in Springfield, MA, with 37 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
1500 Main Street, 19th Floor, Springfield, MA, 01115
Get directionsHistory
Regulatory History (2)
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
August 2002Settled
Customer Dispute
August 2002Denied
Employment History
Current Registrations
Morgan Stanley
June 2009 - Present · 16 yrs 11 mos
Morgan StanleyBroker
June 2009 - Present · 16 yrs 11 mos
Previous Registrations
Morgan Stanley & CO. Incorporated
November 2007 - June 2009 · 1 yr 7 mos
Morgan Stanley & CO. IncorporatedBroker
November 2007 - June 2009 · 1 yr 7 mos
UBS Financial Services INC.Broker
January 1995 - November 2007 · 12 yrs 10 mos
Kidder, Peabody & CO. IncorporatedBroker
August 1990 - January 1995 · 4 yrs 5 mos
Smith Barney, Harris Upham & CO., IncorporatedBroker
August 1984 - April 1986 · 1 yr 8 mos
S. D. Cohn & CO.Broker
February 1984 - August 1984 · 6 mos
State Registrations38 states
ALAZCACOCTDCDEFLGAHIIAILINKYMAMDMEMIMNMTNCNHNJNMNVNYOHOKORPARISCTXVAVTWAWIWV
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.