James Cotto is a registered investment advisor at Morgan Stanley, based in Purchase, NY, 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
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Location
2000 Westchester Avenue, 1Nc, Purchase, NY, 10577
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Regulatory History (7)
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Customer Dispute
September 2012Denied
Customer Dispute
December 2011Final
Customer Dispute
December 2003Denied
Customer Dispute
September 2003Settled
Customer Dispute
June 2001Closed-No Action
Customer Dispute
January 1998Closed-No Action
Criminal
September 1983Final Disposition
Employment History
Current Registrations
Morgan Stanley
May 2020 - Present · 6 yrs 2 mos
Morgan StanleyBroker
June 2009 - Present · 17 yrs 1 mo
Previous Registrations
Morgan Stanley Smith Barney LLC
June 2009 - June 2009 · 0 mos
Morgan Stanley & CO. Incorporated
April 2009 - June 2009 · 2 mos
Morgan Stanley & CO. IncorporatedBroker
April 2009 - June 2009 · 2 mos
Wachovia Securities, LLC
October 2003 - April 2009 · 5 yrs 6 mos
Wachovia Securities, LLCBroker
April 2001 - April 2009 · 8 yrs
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
November 1991 - May 2001 · 9 yrs 6 mos
First Albany CorporationBroker
February 1988 - October 1991 · 3 yrs 8 mos
Moseley Securities CorporationBroker
December 1987 - January 1988 · 1 mo
Hym Financial, INC.Broker
November 1987 - November 1987 · 0 mos
The Stuart-James Company, INC.Broker
June 1987 - October 1987 · 4 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
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.