GS
GS
Gregory Sain
38 Years of Experience
Westlake Village, CA
3 DisclosuresBroker
Gregory Sain is a registered investment advisor at Morgan Stanley, based in Westlake Village, CA, with 38 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
Loading...
Location
100 North Westlake Boulevard, Suite 200, Westlake Village, CA, 91362
Get directionsHistory
Regulatory History (3)
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
March 2023Settled
Customer Dispute
April 2016Denied
Customer Dispute
September 2005Settled
Employment History
Current Registrations
Morgan Stanley
March 2022 - Present · 4 yrs 2 mos
Morgan StanleyBroker
March 2022 - Present · 4 yrs 2 mos
Morgan Stanley
March 2022 - Present · 4 yrs 2 mos
Previous Registrations
Stifel, Nicolaus & Company, Incorporated
November 2011 - March 2022 · 10 yrs 4 mos
Stifel, Nicolaus & Company, IncorporatedBroker
November 2011 - March 2022 · 10 yrs 4 mos
Stone & Youngberg LLC
July 2004 - November 2011 · 7 yrs 4 mos
Stone & Youngberg LLCBroker
October 1991 - November 2011 · 20 yrs 1 mo
Prudential-Bache Securities INC.Broker
October 1989 - January 1991 · 1 yr 3 mos
Municicorp of CaliforniaBroker
April 1987 - November 1989 · 2 yrs 7 mos
State Registrations21 states
AZCACOFLIDILMAMDMINJNVNYORSCTNTXUTVAWAWIWY
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.