Thomas Poteat is a registered investment advisor at Morgan Stanley, based in New York, NY, 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
55 East 52nd Street, 7th Floor, New York, NY, 10055
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →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
November 2003 - June 2009 · 5 yrs 7 mos
Dupasquier & CO., INC.Broker
April 2003 - November 2003 · 7 mos
Citigroup Global Markets INC.Broker
April 1999 - May 2003 · 4 yrs 1 mo
Laidlaw Global Securities, INC.Broker
May 1997 - April 1999 · 1 yr 11 mos
Oppenheimer & CO., INC.Broker
June 1996 - May 1997 · 11 mos
State Registrations34 states
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AdvisorBrokerBoth
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Exams
No exam information available for this advisor.