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James O'keefe is a registered investment advisor at Morgan Stanley, based in New York, NY, with 36 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
One Penn Plaza, 43rd Floor, New York, NY, 10119
Get directionsHistory
Regulatory History (5)
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Customer Dispute
June 2015Denied
Customer Dispute
September 2014Denied
Customer Dispute
March 2002Settled
Customer Dispute
November 1992Settled
Criminal
April 1988Final Disposition
Employment History
Current Registrations
Morgan Stanley
June 2021 - Present · 4 yrs 11 mos
Morgan StanleyBroker
June 2009 - Present · 16 yrs 11 mos
Previous Registrations
Citigroup Global Markets INC.Broker
August 2001 - June 2009 · 7 yrs 10 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
January 1990 - August 2001 · 11 yrs 7 mos
Waddell & Reed, INC.Broker
June 1988 - October 1988 · 4 mos
Thomas James Associates, INC.Broker
February 1988 - March 1988 · 1 mo
State Registrations14 states
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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.