David Soter is a registered investment advisor at Morgan Stanley, based in Oxnard, CA, 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
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Location
300 Esplanade Drive, 10th Floor, Oxnard, CA, 93036
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Regulatory History (1)
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Customer Dispute
January 2016Denied
Other Business Activities
David serves as a trustee/co-trustee for a trust in Ventura, California, related to estate administration. This activity does not appear to require a significant time commitment.
Employment History
Current Registrations
Morgan Stanley
June 2009 - Present · 16 yrs 11 mos
Morgan Stanley
June 2009 - Present · 16 yrs 11 mos
Morgan StanleyBroker
June 2009 - Present · 16 yrs 11 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
January 1999 - April 2007 · 8 yrs 3 mos
Morgan Stanley Dw INC.Broker
November 1998 - April 2007 · 8 yrs 5 mos
Go Trading, INC.Broker
February 1998 - April 1998 · 2 mos
John Hancock Distributors, INC.Broker
July 1995 - February 1998 · 2 yrs 7 mos
John Hancock Mutual Life Insurance CompanyBroker
July 1995 - May 1997 · 1 yr 10 mos
John Hancock Distributors, INC.Broker
September 1993 - May 1995 · 1 yr 8 mos
John Hancock Mutual Life Insurance CompanyBroker
September 1993 - May 1995 · 1 yr 8 mos
State Registrations37 states
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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.