Stephen Parlier is a registered investment advisor at Morgan Stanley, based in Chicago, IL, with 39 years of industry experience. Stephen 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
233 S Wacker Dr., Suite 8600, Chicago, IL, 60606
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Regulatory History (2)
Customer Dispute
March 2001Customer Dispute
July 1995Other Business Activities
Stephen serves as an arbitrator for FINRA, dedicating minimal time to this role. He also participates in periodic surveys for Escalent Inc., receiving a stipend for his time.
Employment History
Current Registrations
Morgan StanleyBroker
Morgan Stanley
Previous Registrations
Citigroup Global Markets INC.Broker
Citigroup Global Markets INC.
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Anchor National Financial Services, INC.Broker
State Registrations31 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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