David Heiman is a registered investment advisor at Morgan Stanley, based in San Jose, CA, with 40 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
225 West Santa Clara Street, Suite 900, San Jose, CA, 95113
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Regulatory History (2)
Customer Dispute
December 2008Customer Dispute
September 2008Other Business Activities
David is involved with the Leo M Shortino Family Foundation as a Finance Committee member, Board Member, and Treasurer, dedicating a few hours per week. He also owns rental properties through Brigantine Lane LLC and 2615 E 6th St LLC, spending minimal time on these activities.
Employment History
Current Registrations
Morgan Stanley
Morgan StanleyBroker
Previous Registrations
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
Lehman Brothers INC.Broker
E. F. Hutton & Company INCBroker
State Registrations21 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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