CS
CFP
CS
CFP
Christopher Spahn
34 Years of Experience
Westport, CT
1 DisclosureBroker
Christopher Spahn is a CFP-designated registered investment advisor at Morgan Stanley, based in Westport, CT, with 34 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
500 Post Road East, 3rd Floor, Westport, CT, 06880
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
May 2008Closed-No Action
Other Business Activities
Christopher is a board member for Mustangs All Sports Club, a non-profit organization, spending minimal time outside business hours. He also serves as a trustee/co-trustee for a trust, dedicating minimal time during business hours.
Employment History
Current Registrations
Morgan StanleyBroker
July 2022 - Present · 3 yrs 10 mos
Morgan Stanley
July 2022 - Present · 3 yrs 10 mos
Previous Registrations
UBS Financial Services INC.
March 2012 - August 2022 · 10 yrs 5 mos
UBS Financial Services INC.Broker
March 2012 - August 2022 · 10 yrs 5 mos
Wells Fargo Advisors, LLCBroker
January 2008 - March 2012 · 4 yrs 2 mos
Wells Fargo Advisors, LLC
January 2008 - March 2012 · 4 yrs 2 mos
A. G. Edwards & Sons, INC.
May 1999 - January 2008 · 8 yrs 8 mos
A. G. Edwards & Sons, INC.Broker
May 1995 - January 2008 · 12 yrs 8 mos
W.J. Nolan & Company, INC.Broker
November 1991 - May 1995 · 3 yrs 6 mos
State Registrations32 states
ALAZCACOCTDCDEFLGAILKYLAMAMDMEMNMTNCNHNJNMNVNYORPARISCTNTXVAVTWA
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.