SP
SP

Sergio Piccinich

33 Years of Experience
Paramus, NJ
2 DisclosuresBroker

Sergio Piccinich is a registered investment advisor at Morgan Stanley, based in Paramus, NJ, 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

61 South Paramus Road, 3rd Floor, Paramus, NJ, 07652

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History

Regulatory History (2)
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
June 2004
Closed-No Action
Customer Dispute
July 2001
Denied
Other Business Activities

Sergio is the trustee for a trust that owns a rental property in Bergenfield, NJ, since 2006. This activity is investment-related.

Employment History
Current Registrations
Morgan StanleyBroker
June 2009 - Present · 16 yrs 11 mos
Morgan Stanley
June 2009 - Present · 16 yrs 11 mos
Previous Registrations
Citigroup Global Markets INC.Broker
October 2007 - June 2009 · 1 yr 8 mos
Citigroup Global Markets INC.
October 2007 - June 2009 · 1 yr 8 mos
A. G. Edwards & Sons, INC.
October 2003 - October 2007 · 4 yrs
A. G. Edwards & Sons, INC.Broker
July 1997 - October 2007 · 10 yrs 3 mos
Mclaughlin, Piven, Vogel Securities, INC.Broker
January 1993 - July 1997 · 4 yrs 6 mos
State Registrations37 states
ALARAZCACOCTDCDEFLGAIDILKSKYMAMDMEMIMNMOMSNCNHNJNMNYOHOKORPARISCTXVAVTWAWI
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.