James Garrity is a registered investment advisor at Morgan Stanley, based in La Jolla, CA, with 36 years of industry experience. James 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
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
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.
Location
La Jolla, CA
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Regulatory History (2)
Customer Dispute
August 2025Customer Dispute
June 1999Employment History
Current Registrations
Morgan Stanley
Morgan StanleyBroker
Morgan Stanley
Previous Registrations
Credit Suisse Securities (USA) LLCBroker
Credit Suisse Securities (USA) LLC
Donaldson Lufkin & Jenrette Securities Corporation
Donaldson, Lufkin & Jenrette Securities CorporationBroker
Goldman, Sachs & CO.Broker
State Registrations48 states
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.
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