Michael Yen is a CFP-designated registered investment advisor at Morgan Stanley, based in Newport Beach, CA, with 26 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.
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
800 Newport Center Drive, Suite 500, Newport Beach, CA, 92660
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Regulatory History
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.
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Current Registrations
Morgan Stanley
Morgan StanleyBroker
Previous Registrations
Hsbc Securities (USA) INC.
Hsbc Securities (USA) INC.Broker
Banc of America Investment Services, INC.
Banc of America Investment Services, INC.Broker
Citicorp Investment ServicesBroker
State Registrations27 states
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