James Bertero is a registered investment advisor at Morgan Stanley, based in Santa Rosa, CA, with 27 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, High Net Worth, Investment Management, Retirement Planning. Their firm serves 2,703,720 clients with $2000B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Morgan Stanley Smith Barney LLC charges a fee for its consulting services, which is generally payable quarterly in advance. The maximum fee for the services is $500,000, and fees are negotiable between the client and their private wealth advisor.
Location
3562 Round Barn Circle, 1st Floor, Santa Rosa, CA, 95403
Get directionsHistory
Regulatory History (2)
Regulatory
November 2015Customer Dispute
July 2012Other Business Activities
James is involved with a trust in Solvang, California since December 2022. He spends minimal time on this investment-related activity outside of business hours.
Employment History
Current Registrations
Morgan StanleyBroker
Morgan Stanley
Previous Registrations
Morgan Stanley & CO. Incorporated
Morgan Stanley & CO. IncorporatedBroker
UBS Financial Services INC.Broker
UBS Financial Services INC.
Salomon Smith Barney INC.
Salomon Smith Barney INC.Broker
State Registrations23 states
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
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