JC
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John Cook

36 Years of Experience
Dublin, OH
3 DisclosuresBroker

John Cook is a registered investment advisor at Morgan Stanley, based in Dublin, OH, with 36 years of industry experience. John is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, High Net Worth, Investment Management, Retirement Planning. Their firm serves 2,703,720 clients with $2000B in assets under management.

Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23172 advisors
Number of Clients
2,703,720 clients
Average Client Portfolio
$726K average
Assets Under Management
$1961.9B

Fee Structure

Investment management only (planning not offered)

Morgan Stanley Smith Barney LLC charges a fee for its consulting services, which is generally payable quarterly in advance. The maximum fee for the services is $500,000, and fees are negotiable between the client and their private wealth advisor.

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Location

545 Metro Place South, Suite 300, Dublin, OH, 43017

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History

Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
November 2006
Denied
Customer Dispute
March 2001
Denied
Customer Dispute
August 1997
Denied
Other Business Activities

John is a director at Osco Industries, a grey iron foundry, dedicating minimal time outside of business hours. He also holds power of attorney, which is investment-related, and spends minimal time on it.

Employment History
Current Registrations
Morgan Stanley
June 2009 - Present · 17 yrs 4 mos
Morgan StanleyBroker
June 2009 - Present · 17 yrs 4 mos
Previous Registrations
Citigroup Global Markets INC.
December 1999 - June 2009 · 9 yrs 6 mos
Citigroup Global Markets INC.Broker
August 1994 - June 2009 · 14 yrs 10 mos
Banc One Securities CorporationBroker
August 1990 - August 1994 · 4 yrs
American Express Financial Advisors INC.Broker
April 1990 - June 1990 · 2 mos
Ids Life Insurance CompanyBroker
April 1990 - June 1990 · 2 mos
State Registrations52 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTWAWIWVWY
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.
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