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Paul Thompson
30 Years of Experience
Los Angeles, CA
3 DisclosuresBroker
Paul Thompson is a registered investment advisor at Morgan Stanley, based in Los Angeles, 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
10960 Wilshire Boulevard, Suite 2000, Los Angeles, CA, 90024
Get directionsHistory
Regulatory History (3)
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Customer Dispute
March 2009Settled
Customer Dispute
January 2002Denied
Criminal
February 1975Final Disposition
Employment History
Current Registrations
Morgan Stanley
June 2009 - Present · 16 yrs 11 mos
Morgan StanleyBroker
June 2009 - Present · 16 yrs 11 mos
Morgan Stanley
June 2009 - Present · 16 yrs 11 mos
Previous Registrations
Citigroup Global Markets INC.Broker
September 2007 - June 2009 · 1 yr 9 mos
Citigroup Global Markets INC.
September 2007 - June 2009 · 1 yr 9 mos
UBS Financial Services INC.
June 2001 - September 2007 · 6 yrs 3 mos
UBS Financial Services INC.Broker
May 2001 - September 2007 · 6 yrs 4 mos
Morgan Stanley Dw INC.Broker
February 1996 - June 2001 · 5 yrs 4 mos
State Registrations24 states
AKAZCACOCTDCFLGAHIIDILMAMDMTNJNVNYOHPATXUTVAWAWY
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.