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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
Get directionsHistory
Regulatory History (1)
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Customer Dispute
December 2021Settled
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.