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Joseph Ganun

Morgan Stanley
32 Years of Experience
Red Bank, NJ
4 DisclosuresBroker
View SEC Summary
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Joseph Ganun is a registered investment advisor at Morgan Stanley, based in Red Bank, NJ, with 32 years of industry experience. Joseph is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, High Net Worth, Investment Management, Retirement Planning. Their firm serves 2,703,720 clients with $2000B in assets under management.

Morgan Stanley
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23172 advisors
Number of Clients
2,703,720 clients
Average Client Portfolio
$726K average
Assets Under Management
$1961.9B

Fee Structure

Investment management only (planning not offered)

Morgan Stanley Smith Barney LLC charges a fee for its consulting services, which is generally payable quarterly in advance. The maximum fee for the services is $500,000, and fees are negotiable between the client and their private wealth advisor.

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Location

20 Linden Place, Red Bank, NJ, 07701

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History

Regulatory History (4)
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
November 2022
Denied
Regulatory
January 2009
Final
Customer Dispute
December 2005
Withdrawn
Customer Dispute
October 2002
Closed-No Action
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Joseph is an independent contractor for NYONAIR since 2014, dedicating minimal time after work. He is also a board member of the Academy of Certified Portfolio Managers since 2022, spending a few hours per week on administrative and business development tasks.

Employment History
Current Registrations
Morgan StanleyBroker
June 2009 - Present · 17 yrs 4 mos
Morgan Stanley
June 2009 - Present · 17 yrs 4 mos
Previous Registrations
Morgan Stanley & CO. Incorporated
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley & CO. IncorporatedBroker
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley
March 2006 - April 2007 · 1 yr 1 mo
Morgan Stanley Dw INC.Broker
February 2006 - April 2007 · 1 yr 2 mos
Oppenheimer & CO. INC.Broker
January 2003 - March 2006 · 3 yrs 2 mos
Cibc World Markets CORP.Broker
March 2001 - January 2003 · 1 yr 10 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
April 1996 - March 2001 · 4 yrs 11 mos
Oppenheimer & CO., INC.Broker
September 1995 - February 1996 · 5 mos
Waterhouse Securities, INC.Broker
February 1995 - July 1995 · 5 mos
Thomas James Associates, INC.Broker
August 1994 - December 1994 · 4 mos
Westfield Financial CorporationBroker
August 1994 - August 1994 · 0 mos
Hibbard Brown & CO., INC.Broker
September 1993 - September 1994 · 1 yr
State Registrations36 states
ARAZCACOCTDCDEFLGAIDILKYLAMAMDMIMNMOMTNCNDNHNJNVNYOHOKORPASCTNTXVAVTWAWY
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.
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