James Hartnett is a CFA-designated registered investment advisor at Morgan Stanley, based in New York, NY, with 25 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
750 Seventh Avenue, New York, NY, 10019
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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
January 2022 - Present · 4 yrs 4 mos
Morgan StanleyBroker
December 2021 - Present · 4 yrs 5 mos
Previous Registrations
Allianz Global Investors Managed Accounts LLC
January 2007 - August 2007 · 7 mos
Allianz Global Investors Distributors LLCBroker
October 2006 - February 2020 · 13 yrs 4 mos
Morgan Stanley Dw INC.Broker
April 2003 - October 2006 · 3 yrs 6 mos
Prudential Investment Management Services LLCBroker
November 1998 - March 2003 · 4 yrs 4 mos
State Registrations2 states
NJNY
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.