LW
LW
Larry Wachtel is a registered investment advisor at Morgan Stanley, based in Boca Raton, FL, 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
595 South Federal Highway, Suite 400, Boca Raton, FL, 33432
Get directionsHistory
Regulatory History (5)
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Customer Dispute
December 2015Denied
Customer Dispute
February 2010Settled
Customer Dispute
October 2008Denied
Customer Dispute
February 2003Denied
Customer Dispute
April 1998Award / Judgment
Employment History
Current Registrations
Morgan Stanley
June 2009 - Present · 17 yrs 1 mo
Morgan StanleyBroker
June 2009 - Present · 17 yrs 1 mo
Previous Registrations
Citigroup Global Markets INC.
November 2008 - June 2009 · 7 mos
Citigroup Global Markets INC.Broker
October 2008 - June 2009 · 8 mos
Wachovia Securities, LLC
July 2002 - November 2008 · 6 yrs 4 mos
Wachovia Securities, LLCBroker
June 2002 - November 2008 · 6 yrs 5 mos
Wachovia Securities, INC.Broker
February 2000 - June 2002 · 2 yrs 4 mos
Wachovia Brokerage ServiceBroker
July 1998 - February 2000 · 1 yr 7 mos
Island Investment Services, INC.Broker
May 1997 - July 1998 · 1 yr 2 mos
Invest Financial CorporationBroker
January 1992 - May 1997 · 5 yrs 4 mos
Lehman Brothers INC.Broker
May 1990 - January 1992 · 1 yr 8 mos
Invest Financial CorporationBroker
February 1989 - June 1990 · 1 yr 4 mos
F.D. Roberts Securities, INC.Broker
August 1987 - February 1989 · 1 yr 6 mos
State Registrations52 states
ALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin 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.