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Michael Ganguzza

Morgan Stanley
25 Years of Experience
Williamsville, NY
1 DisclosureBroker
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Michael Ganguzza is a registered investment advisor at Morgan Stanley, based in Williamsville, NY, with 25 years of industry experience. Michael 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.

Morgan Stanley
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23124 advisors
Number of Clients
2,703,720 clients
Average Client Portfolio
$726K average
Assets Under Management
$1961.9B

Fee Structure

Investment management only (planning not offered)

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.

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Location

450 Essjay Road, Suite 100, Williamsville, NY, 14221

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History

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.
Criminal
July 1999
Final Disposition
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Michael is a member of the Pittsford Town environmental board since February 2019, advising the Town Board and Planning Board on environmental issues. This takes minimal time outside of business hours.

Employment History
Current Registrations
Morgan Stanley
May 2020 - Present · 6 yrs 5 mos
Morgan Stanley
December 2015 - Present · 10 yrs 10 mos
Morgan StanleyBroker
December 2015 - Present · 10 yrs 10 mos
Previous Registrations
UBS Financial Services INC.
June 2014 - December 2015 · 1 yr 6 mos
UBS Financial Services INC.Broker
February 2009 - December 2015 · 6 yrs 10 mos
Citigroup Global Markets INC.Broker
September 2003 - March 2009 · 5 yrs 6 mos
Retirement System Distributors INC.Broker
August 2001 - August 2003 · 2 yrs
Prudential Investment Management Services LLCBroker
August 2000 - November 2000 · 3 mos
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.
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