TrueAdvisor
TrueAdvisor
MS
MS

Michael Sperlinga

Morgan Stanley
31 Years of Experience
Carlsbad, CA
10 DisclosuresBroker
View SEC Summary
View SEC Summary

Michael Sperlinga is a registered investment advisor at Morgan Stanley, based in Carlsbad, 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.

Morgan Stanley
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
View Full SEC Brochure

Location

5796 Armada Drive, Suite 200, Carlsbad, CA, 92008

Get directions

History

Regulatory History (10)
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
November 2011
Settled
Customer Dispute
February 2010
Award / Judgment
Customer Dispute
November 2008
Denied
Customer Dispute
November 2005
Denied
Customer Dispute
September 2003
Closed-No Action
Customer Dispute
March 2002
Award / Judgment
Customer Dispute
December 2001
Settled
Customer Dispute
March 2001
Closed-No Action
Customer Dispute
February 2001
Closed-No Action
Customer Dispute
February 2001
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Morgan Stanley
June 2011 - Present · 14 yrs 11 mos
Morgan Stanley
June 2011 - Present · 14 yrs 11 mos
Morgan StanleyBroker
June 2011 - Present · 14 yrs 11 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
April 1998 - June 2011 · 13 yrs 2 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
May 1994 - June 2011 · 17 yrs 1 mo
State Registrations44 states
AKAZCACOCTDCDEFLGAIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNHNJNMNVNYOKORPARISCTNTXUTVAVTVirgin IslandsWAWIWY
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.
More financial advisors in Carlsbad, CA →All financial advisors in California →