JC
JC
John Carty is a registered investment advisor at Morgan Stanley, based in Springfield, MA, with 32 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
1500 Main Street, 19th Floor, Springfield, MA, 01115
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Regulatory History (3)
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Customer Dispute
October 2009Settled
Customer Dispute
July 2008Settled
Customer Dispute
June 2008Settled
Other Business Activities
John is a board member and on the finance committee for the Boys and Girls Club of Springfield, a non-profit organization, since March 2023. He spends minimal time fundraising for them.
Employment History
Current Registrations
Morgan Stanley
May 2020 - Present · 6 yrs
Morgan StanleyBroker
June 2009 - Present · 16 yrs 11 mos
Previous Registrations
Morgan Stanley
June 2009 - December 2012 · 3 yrs 6 mos
Morgan Stanley & CO. IncorporatedBroker
June 2008 - June 2009 · 1 yr
Morgan Stanley & CO. Incorporated
June 2008 - June 2009 · 1 yr
UBS Financial Services INC.
May 1996 - June 2008 · 12 yrs 1 mo
UBS Financial Services INC.Broker
May 1996 - June 2008 · 12 yrs 1 mo
Prudential Securities IncorporatedBroker
February 1994 - June 1996 · 2 yrs 4 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.