James Harmon is a registered investment advisor at Morgan Stanley, based in New York, NY, 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
One Penn Plaza, 43rd Floor, New York, NY, 10119
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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 Stanley
May 2020 - Present · 6 yrs 2 mos
Morgan StanleyBroker
March 2017 - Present · 9 yrs 4 mos
Previous Registrations
Lazard Asset Management Securities LLCBroker
April 2004 - March 2017 · 12 yrs 11 mos
Lazard Asset Management LLC
June 2003 - March 2017 · 13 yrs 9 mos
Lazard Freres & CO. LLCBroker
March 1996 - April 2004 · 8 yrs 1 mo
Arnhold and S. Bleichroeder, INC.Broker
June 1995 - March 1996 · 9 mos
Gruntal & CO. IncorporatedBroker
October 1994 - March 1995 · 5 mos
Hibbard Brown & CO., INC.Broker
August 1994 - September 1994 · 1 mo
State Registrations43 states
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AdvisorBrokerBoth
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Exams
No exam information available for this advisor.