DM
DM

David Midgley

31 Years of Experience
Seattle, WA
Broker

David Midgley is a registered investment advisor at Morgan Stanley, based in Seattle, WA, with 31 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

601 Union Street, Two Union Square, Suite 5200, Seattle, WA, 98101

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

David is a trustee for multiple trusts, including the 1999 Barker Descendants Trust, and is the Treasurer/Head of Finance committee for Broadmoor Golf Club. These activities require minimal time commitment overall.

Employment History
Current Registrations
Morgan Stanley
September 2019 - Present · 6 yrs 8 mos
Morgan StanleyBroker
August 2019 - Present · 6 yrs 9 mos
Previous Registrations
Goldman Sachs & CO. LLCBroker
February 2005 - September 2019 · 14 yrs 7 mos
Alliance Capital Management L P
April 2002 - March 2005 · 2 yrs 11 mos
Sanford C. Bernstein & CO., LLCBroker
March 2002 - March 2005 · 3 yrs
Piper Jaffray INC.Broker
December 1991 - December 1998 · 7 yrs
State Registrations19 states
CADEFLGAIDILINMAMNMOMTNCNJNVNYOHORTXWA
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.
David Midgley - Financial Advisor | TrueAdvisor