James Schembs is a registered investment advisor at Morgan Stanley, based in Seattle, WA, with 8 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
601 Union Street, Two Union Square, Suite 5200, Seattle, WA, 98101
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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
May 2024 - Present · 2 yrs 2 mos
Morgan StanleyBroker
May 2024 - Present · 2 yrs 2 mos
Previous Registrations
BMO Capital Markets CORP.Broker
June 2022 - May 2024 · 1 yr 11 mos
Sanford C. Bernstein & CO., LLCBroker
November 2004 - May 2007 · 2 yrs 6 mos
Alps Distributors, INC.Broker
October 2004 - November 2004 · 1 mo
Kms Financial Services, INC.Broker
May 2002 - December 2003 · 1 yr 7 mos
Bondhub, INC.Broker
November 2001 - March 2002 · 4 mos
State Registrations19 states
CADEFLGAIDILINMAMNMOMTNCNJNVNYOHORTXWA
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.