Neal Coleman is a registered investment advisor at Morgan Stanley, based in Newport Beach, CA, with 38 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
800 Newport Center Drive, Suite 500, Newport Beach, CA, 92660
Get directionsHistory
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
June 2013 - Present · 12 yrs 11 mos
Morgan StanleyBroker
May 2010 - Present · 16 yrs
Previous Registrations
RBC Capital Markets CorporationBroker
March 2002 - June 2010 · 8 yrs 3 mos
Sutro & CO. IncorporatedBroker
January 1998 - March 2002 · 4 yrs 2 mos
Dean Witter Reynolds INC.Broker
December 1995 - January 1998 · 2 yrs 1 mo
Smith Barney INC.Broker
July 1993 - November 1995 · 2 yrs 4 mos
Lehman Brothers INC.Broker
March 1992 - July 1993 · 1 yr 4 mos
Prudential Securities IncorporatedBroker
August 1989 - April 1992 · 2 yrs 8 mos
Thomson Mckinnon Securities INC.Broker
April 1989 - August 1989 · 4 mos
Bateman Eichler, Hill Richards, IncorporatedBroker
August 1987 - May 1989 · 1 yr 9 mos
State Registrations19 states
ARAZCACOFLGAIDKSMAMDNCNVNYOHORTXUTWAWY
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.