Patricia Upton is a registered investment advisor at Morgan Stanley, based in Sacramento, CA, with 30 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
400 Capitol Mall, Suite 1900, Sacramento, CA, 95814
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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
June 2009 - Present · 16 yrs 11 mos
Morgan StanleyBroker
June 2009 - Present · 16 yrs 11 mos
Previous Registrations
Morgan Stanley & CO. Incorporated
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley & CO. IncorporatedBroker
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley
February 2006 - April 2007 · 1 yr 2 mos
Morgan Stanley Dw INC.Broker
June 2000 - April 2007 · 6 yrs 10 mos
Banc of America Investment Services, INC.Broker
July 1999 - May 2000 · 10 mos
Ba Investment Services, INC.Broker
September 1997 - July 1999 · 1 yr 10 mos
Wells Fargo Securities INC.Broker
July 1996 - September 1997 · 1 yr 2 mos
Wells Fargo Securities INC.Broker
October 1994 - August 1995 · 10 mos
State Registrations20 states
AZCACODCFLHIIDILMAMINJNVNYOHORSCTNTXVAWA
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.