SP
SP
Scott Pfotenhauer
29 Years of Experience
Scottsdale, AZ
2 DisclosuresBroker
Scott Pfotenhauer is a registered investment advisor at Morgan Stanley, based in Scottsdale, AZ, with 29 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
14850 North Scottsdale Road, Suite 600, Scottsdale, AZ, 85254
Get directionsHistory
Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
August 2002Settled
Customer Dispute
September 2001Denied
Other Business Activities
Scott is involved with A EYE-VISION, a private company, dedicating minimal time after business hours since 2016.
Employment History
Current Registrations
Morgan Stanley
May 2020 - Present · 6 yrs
Morgan StanleyBroker
June 2009 - Present · 16 yrs 11 mos
Previous Registrations
Citigroup Global Markets INC.Broker
March 1996 - June 2009 · 13 yrs 3 mos
State Registrations35 states
AZCACOCTFLGAIAIDILINKSMAMDMEMIMNMOMSMTNCNJNMNVNYOHORPASCSDTNTXUTVAWAWY
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.