David Klein is a registered investment advisor at Morgan Stanley, based in Newport Beach, CA, 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
800 Newport Center Drive, Suite 500, Newport Beach, CA, 92660
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 StanleyBroker
June 2009 - Present · 17 yrs 1 mo
Morgan Stanley
June 2009 - Present · 17 yrs 1 mo
Previous Registrations
Morgan Stanley & CO. IncorporatedBroker
June 2008 - June 2009 · 1 yr
Morgan Stanley & CO. Incorporated
June 2008 - June 2009 · 1 yr
Citigroup Global Markets INC.
May 2002 - July 2008 · 6 yrs 2 mos
Citigroup Global Markets INC.Broker
March 2001 - July 2008 · 7 yrs 4 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
November 1993 - April 2001 · 7 yrs 5 mos
State Registrations31 states
ARAZCACOCTDCDEFLGAHIIAIDILKYMAMDNCNJNMNVNYOKPARISCTNTXUTVAVTWA
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.