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Regis Larkin

Morgan Stanley
40 Years of Experience
Frederick, MD
1 DisclosureBroker
View SEC Summary
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Regis Larkin is a registered investment advisor at Morgan Stanley, based in Frederick, MD, with 40 years of industry experience. Regis 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.

Morgan Stanley
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23172 advisors
Number of Clients
2,703,720 clients
Average Client Portfolio
$726K average
Assets Under Management
$1961.9B

Fee Structure

Investment management only (planning not offered)

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.

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Location

30 West Patrick Street, Suite 700, Frederick, MD, 21701

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History

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
September 2005
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Regis is a partner at Larkin Dental Health LLC since 2020, spending minimal time outside business hours on administrative tasks. He is also a member of ReBob Holdings LLC since 2023, dedicating minimal time outside business hours to administrative tasks.

Employment History
Current Registrations
Morgan StanleyBroker
July 2017 - Present · 9 yrs 3 mos
Morgan Stanley
July 2017 - Present · 9 yrs 3 mos
Previous Registrations
RBC Capital Markets, LLCBroker
June 2009 - August 2017 · 8 yrs 2 mos
RBC Capital Markets, LLC
June 2009 - August 2017 · 8 yrs 2 mos
Morgan Stanley & CO. Incorporated
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley & CO. IncorporatedBroker
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley
April 2001 - April 2007 · 6 yrs
Morgan Stanley Dw INC.Broker
November 2000 - April 2007 · 6 yrs 5 mos
Bgs&g Investment Services, INC.Broker
August 1990 - December 2000 · 10 yrs 4 mos
Ferris, Baker Watts IncorporatedBroker
April 1987 - July 1990 · 3 yrs 3 mos
American Express Financial Advisors INC.Broker
February 1986 - May 1987 · 1 yr 3 mos
State Registrations48 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMTNCNENHNJNMNVNYOHOKORPARISCTNTXUTVAVTVirgin IslandsWAWIWV
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.
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