James Mills
James Mills is a registered investment advisor at Morgan Stanley, based in Westlake Village, 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
2829 Townsgate Road, Suite 200, Westlake Village, CA, 91361
Get directionsHistory
Regulatory History (2)
Customer Dispute
August 2000Customer Dispute
September 1992Other Business Activities
James is a part owner of rental property in Mammoth Lakes, CA, spending minimal time on it. He is also the successor trustee for a trust in Oxford, Connecticut, dedicating minimal time to estate administration.
Employment History
Current Registrations
Morgan StanleyBroker
Morgan Stanley
Previous Registrations
UBS Financial Services INC.Broker
UBS Financial Services INC.
Lehman Brothers INC.
Lehman Brothers INC.Broker
Bear, Stearns & CO. INC.Broker
Kidder, Peabody & CO. IncorporatedBroker
State Registrations52 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.
Exams
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