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Thomas Assalone

39 Years of Experience
Scottsdale, AZ
1 DisclosureBroker

Thomas Assalone is a registered investment advisor at Morgan Stanley, based in Scottsdale, AZ, with 39 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
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Location

14850 North Scottsdale Road, Suite 600, Scottsdale, AZ, 85254

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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
December 2021
Settled
Other Business Activities

Thomas is an actor and member of the Screen Actors Guild since 1983. This activity is not investment-related and does not take place during or after business hours.

Employment History
Current Registrations
Morgan Stanley
September 2020 - Present · 5 yrs 8 mos
Morgan StanleyBroker
September 2020 - Present · 5 yrs 8 mos
Previous Registrations
Oppenheimer & CO. INC.
June 2007 - September 2020 · 13 yrs 3 mos
Oppenheimer & CO. INC.Broker
October 2006 - September 2020 · 13 yrs 11 mos
UBS Financial Services INC.
September 2006 - November 2006 · 2 mos
UBS Financial Services INC.Broker
August 2006 - November 2006 · 3 mos
Piper Jaffray & CO.Broker
October 2000 - August 2006 · 5 yrs 10 mos
Prudential Securities IncorporatedBroker
April 1997 - October 2000 · 3 yrs 6 mos
Painewebber IncorporatedBroker
March 1994 - May 1997 · 3 yrs 2 mos
Smith Barney Shearson INC.Broker
July 1993 - March 1994 · 8 mos
Lehman Brothers INC.Broker
February 1988 - July 1993 · 5 yrs 5 mos
E. F. Hutton & Company INCBroker
August 1986 - February 1988 · 1 yr 6 mos
State Registrations48 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPARISCTNTXUTVAWAWIWV
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.
Thomas Assalone - Financial Advisor | TrueAdvisor