MR
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Michael Roberts
33 Years of Experience
San Diego, CA
3 DisclosuresBroker
Michael Roberts is a registered investment advisor at Morgan Stanley, based in San Diego, 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
16644 West Bernardo Drive, Suite 400, San Diego, CA, 92127
Get directionsHistory
Regulatory History (3)
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Customer Dispute
May 2010Settled
Customer Dispute
December 1997Denied
Customer Dispute
November 1994Settled
Employment History
Current Registrations
Morgan Stanley
November 2009 - Present · 16 yrs 6 mos
Morgan StanleyBroker
November 2009 - Present · 16 yrs 6 mos
Previous Registrations
UBS Financial Services INC.Broker
July 2003 - November 2009 · 6 yrs 4 mos
UBS Financial Services INC.
July 2003 - November 2009 · 6 yrs 4 mos
Wachovia Securities, LLC
May 2003 - July 2003 · 2 mos
Wachovia Securities, LLCBroker
May 1997 - July 2003 · 6 yrs 2 mos
Prudential Securities IncorporatedBroker
July 1994 - May 1997 · 2 yrs 10 mos
Chatfield Dean & CO., INC.Broker
April 1992 - August 1994 · 2 yrs 4 mos
State Registrations52 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWY
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.