Gregory Sain
Gregory Sain is a registered investment advisor at Morgan Stanley, based in Agoura Hills, CA, with 38 years of industry experience. Gregory 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
Agoura Hills, CA
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Regulatory History (3)
Customer Dispute
March 2023Customer Dispute
April 2016Customer Dispute
September 2005Employment History
Current Registrations
Morgan Stanley
Morgan StanleyBroker
Morgan Stanley
Previous Registrations
Stifel, Nicolaus & Company, Incorporated
Stifel, Nicolaus & Company, IncorporatedBroker
Stone & Youngberg LLC
Stone & Youngberg LLCBroker
Prudential-Bache Securities INC.Broker
Municicorp of CaliforniaBroker
State Registrations49 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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