John Pettica
John Pettica is a registered investment advisor at Morgan Stanley, based in Saratoga Springs, NY, with 53 years of industry experience. John 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
340 Broadway, 2nd Floor, Saratoga Springs, NY, 12866
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Regulatory History (1)
Customer Dispute
July 2004Employment History
Current Registrations
Morgan Stanley
Morgan StanleyBroker
Previous Registrations
Morgan Stanley
Citigroup Global Markets INC.Broker
Lehman Brothers INC.Broker
Aetna Life Insurance and Annuity CompanyBroker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Travelers Equities Sales, INC.Broker
Berkshire Equity Sales, INC.Broker
State Registrations22 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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