SC
SC
Steven Colli is a registered investment advisor at Morgan Stanley, based in Morristown, NJ, 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
Loading...
Location
340 Mount Kemble Avenue, Morristown, NJ, 07960
Get directionsHistory
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 2017Settled
Customer Dispute
February 2017Denied
Customer Dispute
January 2017Closed-No Action
Customer Dispute
October 2016Settled
Customer Dispute
May 2016Settled
Customer Dispute
June 2012Settled
Customer Dispute
July 2011Denied
Customer Dispute
April 2009Denied
Customer Dispute
January 2008Denied
Customer Dispute
November 2003Settled
Customer Dispute
May 1999Settled
Customer Dispute
November 1997Closed-No Action
Employment History
Current Registrations
Morgan Stanley
December 2011 - Present · 14 yrs 5 mos
Morgan StanleyBroker
December 2011 - Present · 14 yrs 5 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.