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Frank Winters

28 Years of Experience
Lawrenceville, NJ
Broker

Frank Winters is a registered investment advisor at Morgan Stanley, based in Lawrenceville, NJ, with 28 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

1200 Lenox Drive, Suite 300, Lawrenceville, NJ, 08648

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

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Other Business Activities

Frank is the owner of Wintervention LLC, which is involved in patent design. He spends minimal time on this activity.

Employment History
Current Registrations
Morgan Stanley
March 2010 - Present · 16 yrs 2 mos
Morgan StanleyBroker
March 2010 - Present · 16 yrs 2 mos
Previous Registrations
TD Wealth Management Services INC.
May 2005 - March 2010 · 4 yrs 10 mos
TD Wealth Management Services INC.Broker
April 2004 - March 2010 · 5 yrs 11 mos
Goldman, Sachs & CO.Broker
November 1999 - December 2002 · 3 yrs 1 mo
Vanguard Marketing CorporationBroker
September 1996 - November 1999 · 3 yrs 2 mos
State Registrations14 states
AZCACOCTDEFLILMDNJNYPAPRTXVA
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.