Michael Montgomery
Michael Montgomery is a registered investment advisor at Morgan Stanley, based in Montecito, CA, with 42 years of industry experience. Michael 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
1111 Coast Village Road, Montecito, CA, 93108
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Regulatory History (2)
Customer Dispute
December 2015Customer Dispute
February 2010Employment History
Current Registrations
Morgan StanleyBroker
Morgan Stanley
Previous Registrations
Wells Fargo Clearing Services, LLC
Wells Fargo Clearing Services, LLCBroker
UBS Financial Services INC.
UBS Financial Services INC.Broker
A. G. Edwards & Sons, INC.Broker
Prudential Securities IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Shearson Lehman Hutton INC.Broker
E. F. Hutton & Company INCBroker
State Registrations16 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
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