James Smalley is a registered investment advisor at Morgan Stanley, based in Gig Harbor, WA, 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
Firm Size
IM Fee
Assets Under Management
Fee Structure
Location
2727 Hollycroft Street, Suite 330, Gig Harbor, WA, 98335
Get directionsHistory
Regulatory History (3)
Customer Dispute
April 2009Customer Dispute
July 2001Customer Dispute
January 2001Other Business Activities
James owns a real estate rental property since 2006 and James L Smalley LLC since 2004, spending minimal time on administrative tasks for the LLC. He also serves on the board of directors for Peninsula Light, an electricity provider, dedicating minimal time to setting policy and strategic direction.
Employment History
Current Registrations
Morgan Stanley
Morgan StanleyBroker
Previous Registrations
Citigroup Global Markets INC.Broker
Citigroup Global Markets INC.
Lehman Brothers INC.Broker
State Registrations34 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.