SG
SG

Stephen Guttenberg

31 Years of Experience
Boca Raton, FL
3 DisclosuresBroker

Stephen Guttenberg is a registered investment advisor at Morgan Stanley, based in Boca Raton, FL, 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

595 South Federal Highway, Suite 400, Boca Raton, FL, 33432

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History

Regulatory History (3)
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
August 2018
Final
Customer Dispute
March 2010
Award / Judgment
Customer Dispute
August 2001
Closed-No Action
Other Business Activities

Stephen owns Angel Fish Cay24B LLC, a condo rental at Ocean Reef Club. He spends a few hours per week on this activity.

Employment History
Current Registrations
Morgan Stanley
October 2021 - Present · 4 yrs 7 mos
Morgan StanleyBroker
October 2021 - Present · 4 yrs 7 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
April 1994 - October 2021 · 27 yrs 6 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
April 1994 - October 2021 · 27 yrs 6 mos
State Registrations32 states
ALARAZCACOCTDCDEFLGAILKYLAMAMDMEMSNCNJNVNYOHORPARISCTNTXUTVAWAWI
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.
Stephen Guttenberg - Financial Advisor | TrueAdvisor