David Earle is a registered investment advisor at Morgan Stanley, based in Modesto, CA, with 41 years of industry experience. David 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
1020 10th Street, 2nd Floor, Modesto, CA, 95354
Get directionsHistory
Regulatory History (5)
Customer Dispute
November 2002Customer Dispute
October 2002Customer Dispute
July 2002Customer Dispute
May 2002Employment Separation After Allegations
March 1990Other Business Activities
David works as a water polo referee as an independent contractor. This activity is not investment-related and takes a few hours per week.
Employment History
Current Registrations
Morgan StanleyBroker
Morgan Stanley
Previous Registrations
Morgan Stanley & CO. IncorporatedBroker
Morgan Stanley & CO. Incorporated
Morgan Stanley
Morgan Stanley Dw INC.Broker
Prudential-Bache Securities INC.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations28 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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