Seth Hart is a registered investment advisor at Morgan Stanley, based in New York, NY, 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
One Penn Plaza, 43rd Floor, New York, NY, 10119
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Regulatory History (5)
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Customer Dispute
June 2008Settled
Customer Dispute
May 2008Settled
Customer Dispute
March 2008Settled
Customer Dispute
November 1998Closed-No Action
Criminal
March 1991Final Disposition
Employment History
Current Registrations
Morgan Stanley
April 2014 - Present · 12 yrs 1 mo
Morgan StanleyBroker
April 2014 - Present · 12 yrs 1 mo
Previous Registrations
Hsbc Securities (USA) INC.
July 2006 - April 2014 · 7 yrs 9 mos
Hsbc Securities (USA) INC.Broker
January 2005 - April 2014 · 9 yrs 3 mos
Hsbc Brokerage (USA) INC.Broker
July 2002 - January 2005 · 2 yrs 6 mos
Knight Securities, L.P.Broker
April 2000 - April 2002 · 2 yrs
Chase Investment Services CORP.Broker
March 1998 - April 2000 · 2 yrs 1 mo
Nichols, Safina, Lerner & CO. INC.Broker
June 1994 - January 1998 · 3 yrs 7 mos
Gruntal & CO. IncorporatedBroker
January 1993 - March 1994 · 1 yr 2 mos
State Registrations45 states
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AdvisorBrokerBoth
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Exams
No exam information available for this advisor.