SS
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Sanford Smith is a registered investment advisor at Morgan Stanley, based in San Rafael, 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
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Location
1101 5th AVENUE, Suite 275, San Rafael, CA, 94901
Get directionsHistory
Regulatory History (2)
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Customer Dispute
March 2008Settled
Customer Dispute
August 2007Settled
Employment History
Current Registrations
Morgan StanleyBroker
October 2020 - Present · 5 yrs 7 mos
Morgan Stanley
October 2020 - Present · 5 yrs 7 mos
Morgan Stanley
October 2020 - Present · 5 yrs 7 mos
Previous Registrations
Wells Fargo Clearing Services, LLC
April 2009 - October 2020 · 11 yrs 6 mos
Wells Fargo Clearing Services, LLCBroker
April 2009 - October 2020 · 11 yrs 6 mos
Citigroup Global Markets INC.
July 1997 - April 2009 · 11 yrs 9 mos
Citigroup Global Markets INC.Broker
July 1993 - April 2009 · 15 yrs 9 mos
Lehman Brothers INC.Broker
September 1987 - July 1993 · 5 yrs 10 mos
State Registrations25 states
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AdvisorBrokerBoth
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Exams
No exam information available for this advisor.