Stephen Topley is a registered investment advisor at Morgan Stanley, based in Doylestown, PA, with 31 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
Loading...
Location
4259 West. Swamp Road, Suite 400, Doylestown, PA, 18902
Get directionsHistory
Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Morgan Stanley
September 2018 - Present · 7 yrs 8 mos
Morgan StanleyBroker
March 2014 - Present · 12 yrs 2 mos
Previous Registrations
Bic Distributors, LLCBroker
June 2013 - February 2014 · 8 mos
Foreside Fund Services, LLCBroker
January 2010 - July 2012 · 2 yrs 6 mos
Northern Lights Distributors, LLCBroker
September 2007 - October 2009 · 2 yrs 1 mo
Cadaret Grant & CO INC
February 2007 - August 2007 · 6 mos
Wharton Asset Management, INC.
August 2000 - August 2007 · 7 yrs
Cadaret, Grant & CO., INC.Broker
March 1998 - August 2007 · 9 yrs 5 mos
Independent Financial Securities, INC.Broker
July 1995 - February 1998 · 2 yrs 7 mos
Dreyfus Investment Services CorporationBroker
February 1994 - August 1995 · 1 yr 6 mos
Pruco Securities CorporationBroker
May 1993 - February 1994 · 9 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
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.