JW
JW
James Westmoreland
37 Years of Experience
Charlotte, NC
2 DisclosuresBroker
James Westmoreland is a registered investment advisor at Morgan Stanley, based in Charlotte, NC, with 37 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
6805 Carnegie Boulevard, Suite 400, Charlotte, NC, 28211
Get directionsHistory
Regulatory History (2)
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Regulatory
May 1998Final
Regulatory
August 1994Final
Other Business Activities
James is involved with Helianthus Properties LLC (forestry, land management, rental properties), the Clemson University Finance Department Advisory Board, Makarios Family LLC (family partnership), and manages an estate. These activities require minimal time commitment.
Employment History
Current Registrations
Morgan StanleyBroker
June 2009 - Present · 17 yrs 1 mo
Morgan Stanley
June 2009 - Present · 17 yrs 1 mo
Morgan Stanley
June 2009 - Present · 17 yrs 1 mo
Previous Registrations
Citigroup Global Markets INC.
February 2006 - June 2009 · 3 yrs 4 mos
Citigroup Global Markets INC.Broker
February 2006 - June 2009 · 3 yrs 4 mos
Legg Mason Wood Walker INC
December 2001 - February 2006 · 4 yrs 2 mos
Legg Mason Wood Walker, IncorporatedBroker
February 1994 - February 2006 · 12 yrs
Smith Barney Shearson INC.Broker
July 1993 - March 1994 · 8 mos
Lehman Brothers INC.Broker
June 1989 - July 1993 · 4 yrs 1 mo
Painewebber IncorporatedBroker
August 1988 - April 1991 · 2 yrs 8 mos
State Registrations18 states
ALCACOFLGAIALAMDNCNYOHSCTNTXUTVAWVWY
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.