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
Get directionsHistory
Regulatory History (3)
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Customer Dispute
August 2018Final
Customer Dispute
March 2010Award / Judgment
Customer Dispute
August 2001Closed-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.