Alan Tom is a registered investment advisor at Morgan Stanley, based in Honolulu, HI, 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
733 Bishop Street, Suite 2800, Honolulu, HI, 96813
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Regulatory History (3)
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Regulatory
May 2003Final
Customer Dispute
November 2001Denied
Customer Dispute
July 2000Closed-No Action
Other Business Activities
Alan acts as a Power of Attorney (POA) in Honolulu, Hawaii, starting in March 2021. This investment-related activity occurs primarily during business hours.
Employment History
Current Registrations
Morgan Stanley
June 2009 - Present · 16 yrs 11 mos
Morgan StanleyBroker
June 2009 - Present · 16 yrs 11 mos
Previous Registrations
Citigroup Global Markets INC.
June 1995 - June 2009 · 14 yrs
Citigroup Global Markets INC.Broker
April 1995 - June 2009 · 14 yrs 2 mos
State Registrations16 states
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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.