John Whittemore is a registered investment advisor at Morgan Stanley, based in Napa, CA, with 35 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
Loading...
Location
700 Main Street, Suite 315, Napa, CA, 94559
Get directionsHistory
Regulatory History (1)
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 1995Settled
Employment History
Current Registrations
Morgan Stanley
January 2021 - Present · 5 yrs 6 mos
Morgan StanleyBroker
January 2021 - Present · 5 yrs 6 mos
Previous Registrations
Wells Fargo Clearing Services, LLC
November 2005 - February 2021 · 15 yrs 3 mos
Wells Fargo Clearing Services, LLCBroker
November 2005 - February 2021 · 15 yrs 3 mos
UBS Financial Services INC.
July 1997 - December 2005 · 8 yrs 5 mos
UBS Financial Services INC.Broker
October 1990 - December 2005 · 15 yrs 2 mos
State Registrations26 states
AZCADCFLHIIAIDILINMAMEMIMONENMNVNYOHOKORTNTXUTWAWIWY
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.