James Kwei is a registered investment advisor at Morgan Stanley, based in La Jolla, CA, with 33 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
1111 Prospect Street, La Jolla, CA, 92037
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Regulatory History (1)
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Customer Dispute
February 2013Denied
Employment History
Current Registrations
Morgan Stanley
February 2016 - Present · 10 yrs 5 mos
Morgan StanleyBroker
February 2016 - Present · 10 yrs 5 mos
Previous Registrations
Charles Schwab & CO., INC.Broker
November 2005 - February 2016 · 10 yrs 3 mos
Charles Schwab & CO., INC.
November 2005 - February 2016 · 10 yrs 3 mos
UBS Financial Services INC.
December 2004 - November 2005 · 11 mos
UBS Financial Services INC.Broker
December 2004 - November 2005 · 11 mos
Wm Financial Services, INC.
September 2004 - December 2004 · 3 mos
Wm Financial Services, INC.Broker
September 2004 - December 2004 · 3 mos
Salomon Smith Barney INC.
January 1999 - January 2003 · 4 yrs
Salomon Smith Barney INC.Broker
November 1998 - January 2003 · 4 yrs 2 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 1994 - November 1998 · 4 yrs 1 mo
Prudential Securities IncorporatedBroker
June 1991 - October 1994 · 3 yrs 4 mos
Aimco Securities Company, INC.Broker
May 1991 - June 1991 · 1 mo
State Registrations30 states
AKARAZCACOFLHIIDILINMAMEMIMNMONCNJNMNVNYOHORSCTNTXUTWAWIWVWY
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.