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James Spiro is a registered investment advisor at Morgan Stanley, based in New Orleans, LA, 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
1100 Poydras Street, Suite 1900, New Orleans, LA, 70163
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Regulatory History (3)
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Customer Dispute
November 2004Denied
Customer Dispute
November 1998Settled
Customer Dispute
March 1994Settled
Other Business Activities
James is involved with Fantasy Motors LLC since 2002, dedicating about 10-20% of his time to it. He also serves on the Investment Committee for the Jewish Endowment Foundation, spending minimal time per month on investment decisions and advice.
Employment History
Current Registrations
Morgan Stanley
November 2010 - Present · 15 yrs 6 mos
Morgan StanleyBroker
June 2009 - Present · 16 yrs 11 mos
Previous Registrations
Citigroup Global Markets INC.Broker
July 1993 - June 2009 · 15 yrs 11 mos
Lehman Brothers INC.Broker
July 1984 - July 1993 · 9 yrs
State Registrations49 states
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AdvisorBrokerBoth
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Exams
No exam information available for this advisor.