SD
SD
Stephen Davis
41 Years of Experience
Beverly Hills, CA
6 DisclosuresBroker
Stephen Davis is a registered investment advisor at Morgan Stanley, based in Beverly Hills, CA, 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
9665 Wilshire Boulevard, Suite 600, Beverly Hills, CA, 90212
Get directionsHistory
Regulatory History (6)
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
February 2012Settled
Customer Dispute
April 2010Closed-No Action
Customer Dispute
February 2008Denied
Customer Dispute
September 1997Denied
Customer Dispute
May 1993Award / Judgment
Customer Dispute
June 1988Settled
Other Business Activities
Stephen owns an apartment building through Hotel Amapola LLC since 2016. This investment-related activity requires no time during business hours.
Employment History
Current Registrations
Morgan Stanley
June 2009 - Present · 16 yrs 11 mos
Morgan StanleyBroker
June 2009 - Present · 16 yrs 11 mos
Previous Registrations
Citigroup Global Markets INC.
July 1997 - June 2009 · 11 yrs 11 mos
Citigroup Global Markets INC.Broker
July 1993 - June 2009 · 15 yrs 11 mos
Lehman Brothers INC.Broker
June 1992 - July 1993 · 1 yr 1 mo
Painewebber IncorporatedBroker
May 1988 - May 1992 · 4 yrs
Dean Witter Reynolds INC.Broker
May 1984 - May 1988 · 4 yrs
State Registrations20 states
ARCACOCTFLGAHIMAMTNCNJNYOHORPASCTNTXWAWY
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.