JS
JS
Judith Schwartzbaum
41 Years of Experience
Sarasota, FL
1 DisclosureBroker
Judith Schwartzbaum is a registered investment advisor at Morgan Stanley, based in Sarasota, FL, 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
Loading...
Location
2 North Tamiami Trail, Suite 1100, Sarasota, FL, 34236
Get directionsHistory
Regulatory History (1)
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
May 2009Denied
Other Business Activities
Judith is a lender for a loan, which is investment-related, since April 2018.
Employment History
Current Registrations
Morgan StanleyBroker
June 2009 - Present · 17 yrs 1 mo
Morgan Stanley
June 2009 - Present · 17 yrs 1 mo
Previous Registrations
Citigroup Global Markets INC.Broker
January 1995 - June 2009 · 14 yrs 5 mos
Citigroup Global Markets INC.
January 1995 - June 2009 · 14 yrs 5 mos
Painewebber IncorporatedBroker
February 1985 - January 1995 · 9 yrs 11 mos
State Registrations38 states
ALARAZCACOCTDCDEFLGAHIIAILINKYLAMAMDMEMIMNMOMSMTNCNHNJNVNYOHPASCTXUTVAVTWAWI
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.