Dick Joe is a registered investment advisor at Morgan Stanley, based in Irvine, CA, with 55 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
1901 Main Street, Suite 700, Irvine, CA, 92614
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Regulatory History (1)
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Customer Dispute
October 2002Denied
Employment History
Current Registrations
Morgan StanleyBroker
June 2009 - Present · 16 yrs 11 mos
Morgan Stanley
June 2009 - Present · 16 yrs 11 mos
Morgan Stanley
June 2009 - Present · 16 yrs 11 mos
Previous Registrations
Citigroup Global Markets INC.
July 1997 - June 2009 · 11 yrs 11 mos
Citigroup Global Markets INC.Broker
July 1993 - June 2009 · 15 yrs 11 mos
Lehman Brothers INC.Broker
February 1988 - July 1993 · 5 yrs 5 mos
E. F. Hutton & Company INCBroker
April 1974 - February 1988 · 13 yrs 10 mos
Dupont Walston, IncorporatedBroker
July 1973 - September 1975 · 2 yrs 2 mos
Dupont Glore Forgan IncorporatedBroker
July 1970 - July 1973 · 3 yrs
State Registrations29 states
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AdvisorBrokerBoth
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Exams
No exam information available for this advisor.