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Diane Finnerty is a registered investment advisor at Morgan Stanley, based in New York, NY, 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
New York, NY
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Regulatory History (1)
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Customer Dispute
June 2023Denied
Other Business Activities
Diane is on the advisory board for GAIAnova Entertainment, LLC, focusing on business development and growth, dedicating minimal time outside of business hours. She is also a board member for The Women's Forum of New York, a private foundation, spending minimal time outside of business hours on labor/service.
Employment History
Current Registrations
Morgan Stanley
October 2012 - Present · 13 yrs 7 mos
Morgan Stanley
June 2009 - Present · 16 yrs 11 mos
Morgan StanleyBroker
June 2009 - Present · 16 yrs 11 mos
Previous Registrations
Morgan Stanley Smith Barney LLC
June 2009 - December 2011 · 2 yrs 6 mos
Morgan Stanley & CO. Incorporated
April 2008 - June 2009 · 1 yr 2 mos
Morgan Stanley & CO. IncorporatedBroker
March 2008 - June 2009 · 1 yr 3 mos
Ventur Asset Management, INC.
June 1994 - March 2005 · 10 yrs 9 mos
State Registrations16 states
AZCACOCTDEFLMAMTNJNYOKPASCTXVTWI
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.