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Mark Poulin

Morgan Stanley
27 Years of Experience
Columbus, OH
2 DisclosuresBroker
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Mark Poulin is a registered investment advisor at Morgan Stanley, based in Columbus, OH, with 27 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,539,760 clients with $1700B in assets under management.

Morgan Stanley
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
View Full SEC Brochure

Location

4449 Easton Way, Suite 300, Columbus, OH, 43219

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History

Regulatory History (2)
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 2023
Denied
Customer Dispute
April 1994
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Mark is a part owner in a winery, Calistoga Cellars, but is only an investor and does not participate in the wine production or distribution. Mark also provides consulting services to financial advisors and the financial services industry on practice management, leadership, and team development.

Employment History
Current Registrations
Morgan Stanley
August 2014 - Present · 11 yrs 9 mos
Morgan StanleyBroker
June 2014 - Present · 11 yrs 11 mos
Previous Registrations
Transamerica Capital, INC.Broker
June 2007 - December 2009 · 2 yrs 6 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
January 2005 - June 2007 · 2 yrs 5 mos
Directed Services, INC.Broker
July 2001 - January 2005 · 3 yrs 6 mos
Directed Services, INC.Broker
June 1999 - March 2001 · 1 yr 9 mos
Smith Barney INC.Broker
January 1994 - July 1996 · 2 yrs 6 mos
Prudential Securities IncorporatedBroker
June 1991 - January 1994 · 2 yrs 7 mos
The Ohio CompanyBroker
May 1990 - June 1991 · 1 yr 1 mo
State Registrations47 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.
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