Vincent Lumia is a registered investment advisor at Morgan Stanley, based in New York, NY, with 27 years of industry experience. Vincent 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
1585 Broadway, 21st Floor, New York, NY, 10036
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Regulatory History (1)
Customer Dispute
February 2002Other Business Activities
Vincent is a landlord for a rental property through Lumia Consulting Inc. since 2017, a board member for Kaboom since 2020, a trust protector for estate administration since 2022, and an officer for VMG North America since 2024.
Employment History
Current Registrations
Morgan Stanley
Morgan Stanley
Morgan StanleyBroker
Previous Registrations
Morgan Stanley & CO. LLCBroker
Morgan Stanley & CO. IncorporatedBroker
Morgan Stanley Dw INC.Broker
The J.B. Sutton Group, LLCBroker
State Registrations53 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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