Heather Baumann is a registered investment advisor at Morgan Stanley, based in Garden City, NY, 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
1200 Franklin Avenue, 2nd Floor, Garden City, NY, 11530
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Morgan Stanley
May 2020 - Present · 6 yrs
Morgan StanleyBroker
July 2013 - Present · 12 yrs 10 mos
Previous Registrations
UBS Financial Services INC.Broker
May 2000 - July 2013 · 13 yrs 2 mos
Prudential Securities IncorporatedBroker
May 1987 - May 2000 · 13 yrs
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
December 1984 - May 1987 · 2 yrs 5 mos
State Registrations41 states
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AdvisorBrokerBoth
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Exams
No exam information available for this advisor.