TrueAdvisor
TrueAdvisor
SC
SC

Steven Colli

Morgan Stanley
32 Years of Experience
Morristown, NJ
12 DisclosuresBroker
View SEC Summary
View SEC Summary

Steven Colli is a registered investment advisor at Morgan Stanley, based in Morristown, NJ, with 32 years of industry experience. Steven 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.

View Full SEC Brochure

Location

340 Mount Kemble Avenue, Morristown, NJ, 07960

Get directions

History

Regulatory History (12)
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
September 2017
Settled
Customer Dispute
February 2017
Denied
Customer Dispute
January 2017
Closed-No Action
Customer Dispute
October 2016
Settled
Customer Dispute
May 2016
Settled
Customer Dispute
June 2012
Settled
Customer Dispute
July 2011
Denied
Customer Dispute
April 2009
Denied
Customer Dispute
January 2008
Denied
Customer Dispute
November 2003
Settled
Customer Dispute
May 1999
Settled
Customer Dispute
November 1997
Closed-No Action
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Morgan Stanley
December 2011 - Present · 14 yrs 10 mos
Morgan StanleyBroker
December 2011 - Present · 14 yrs 10 mos
Previous Registrations
Wells Fargo Advisors, LLCBroker
June 2007 - December 2011 · 4 yrs 6 mos
Wells Fargo Advisors, LLC
June 2007 - December 2011 · 4 yrs 6 mos
Banc of America Investment Services, INC.Broker
October 2004 - May 2007 · 2 yrs 7 mos
Banc of America Investment Services, INC.
October 2004 - May 2007 · 2 yrs 7 mos
Quick & Reilly, INC.
October 2002 - October 2004 · 2 yrs
Quick & Reilly, INC.Broker
April 2001 - October 2004 · 3 yrs 6 mos
Summit Financial Services Group, INC.Broker
January 1999 - April 2001 · 2 yrs 3 mos
Essex National Securities, INC.Broker
August 1998 - January 1999 · 5 mos
Patterson Travis, INC.Broker
December 1994 - May 1998 · 3 yrs 5 mos
Westfield Financial CorporationBroker
August 1994 - November 1994 · 3 mos
Hibbard Brown & CO., INC.Broker
October 1993 - September 1994 · 11 mos
State Registrations20 states
AZCACOCTDEFLGAILMDMINCNJNYOHORPASCTNTXVA
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.
More Advisors
More financial advisors in Morristown, NJ →All financial advisors in New Jersey →