DW
DW
Douglas Woolley
32 Years of Experience
Allentown, PA
5 DisclosuresBroker
Douglas Woolley is a registered investment advisor at Morgan Stanley, based in Allentown, PA, with 32 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
515 West Hamilton Street, 7th Floor, Allentown, PA, 18101
Get directionsHistory
Regulatory History (5)
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
July 2004Settled
Customer Dispute
January 2002Settled
Customer Dispute
September 2001Settled
Customer Dispute
May 2001Withdrawn
Customer Dispute
August 1999Settled
Other Business Activities
Douglas acts as a Power of Attorney (POA) in Allentown, Pennsylvania since March 2023. This investment-related activity requires minimal time both during and after business hours.
Employment History
Current Registrations
Morgan StanleyBroker
June 2009 - Present · 16 yrs 11 mos
Morgan Stanley
June 2009 - Present · 16 yrs 11 mos
Previous Registrations
Morgan Stanley & CO. IncorporatedBroker
January 2008 - June 2009 · 1 yr 5 mos
Morgan Stanley & CO. Incorporated
January 2008 - June 2009 · 1 yr 5 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
December 1996 - January 2008 · 11 yrs 1 mo
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
August 1993 - January 2008 · 14 yrs 5 mos
Wheat, First Securities, INC.Broker
April 1993 - June 1993 · 2 mos
State Registrations32 states
AZCACOCTDCDEFLGAIAILINMAMDMEMIMNMOMSNCNHNJNYOHORPARISCTNTXVAWAWV
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.