SV
SV
Sugein Vasquez is a registered investment advisor at Morgan Stanley, based in New York, NY, with 23 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
Loading...
Location
399 Park Avenue, 12th Floor, New York, NY, 10022
Get directionsHistory
Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Financial
April 2016Final
Employment History
Current Registrations
Morgan StanleyBroker
August 2025 - Present · 11 mos
Morgan Stanley
August 2025 - Present · 11 mos
Previous Registrations
Citigroup Global Markets INC.
November 2022 - July 2025 · 2 yrs 8 mos
Citi Global Advisory, LLC
November 2022 - June 2010 · 0 mos
Citigroup Global Markets INC.Broker
September 2022 - July 2025 · 2 yrs 10 mos
Citi Private Alternatives, LLCBroker
September 2022 - July 2025 · 2 yrs 10 mos
J.P. Morgan Securities LLCBroker
December 2014 - August 2022 · 7 yrs 8 mos
Citigroup Global Markets INC.
September 2010 - November 2014 · 4 yrs 2 mos
Citigroup Global Markets INC.Broker
January 2010 - November 2014 · 4 yrs 10 mos
Clearbridge Advisors, LLC
February 2006 - December 2009 · 3 yrs 10 mos
Legg Mason Investor Services, LLCBroker
December 2005 - December 2009 · 4 yrs
Citigroup Global Markets INC.Broker
May 2003 - December 2005 · 2 yrs 7 mos
Advanced Planning Securities, INC.Broker
February 2002 - February 2003 · 1 yr
Josephthal & CO., INC.Broker
May 2001 - June 2001 · 1 mo
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
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.