Brian Grooms is a registered investment advisor at Morgan Stanley, based in Syracuse, NY, with 31 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
250 South Clinton Street, Suite 500, Syracuse, NY, 13202
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Morgan Stanley
July 2011 - Present · 15 yrs 2 mos
Morgan StanleyBroker
July 2011 - Present · 15 yrs 2 mos
Morgan Stanley
July 2011 - Present · 15 yrs 2 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
July 2007 - July 2011 · 4 yrs
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
July 2007 - July 2011 · 4 yrs
Securities America, INC.Broker
October 2005 - July 2007 · 1 yr 9 mos
Securities America Advisors, INC.
October 2005 - July 2007 · 1 yr 9 mos
Wachovia Securities Financial Network, LLC
February 2005 - October 2005 · 8 mos
Wachovia Securities Financial Network, LLCBroker
January 2005 - October 2005 · 9 mos
Wachovia Securities, LLCBroker
July 2003 - January 2005 · 1 yr 6 mos
Prudential Securities IncorporatedBroker
September 2002 - July 2003 · 10 mos
Mcdonald Investments INC.Broker
December 1999 - November 2002 · 2 yrs 11 mos
Key Clearing CORP.Broker
May 1999 - December 1999 · 7 mos
Key Investments INC.Broker
January 1998 - May 1999 · 1 yr 4 mos
Wells Fargo Securities INC.Broker
August 1995 - January 1998 · 2 yrs 5 mos
The Prudential Insurance Company of AmericaBroker
July 1991 - March 1992 · 8 mos
Pruco Securities CorporationBroker
July 1991 - March 1992 · 8 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.