Stephen Dauer is a registered investment advisor at Morgan Stanley, based in Naples, FL, with 24 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
Naples, FL
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.
Customer Dispute
June 2009Denied
Other Business Activities
Stephen is transferring ownership of a condo unit to an LLC, Ivy Lane Capital. He is a member of the LLC and spends minimal time on this activity outside of business hours.
Employment History
Current Registrations
Morgan Stanley
June 2009 - Present · 16 yrs 11 mos
Morgan StanleyBroker
June 2009 - Present · 16 yrs 11 mos
Morgan Stanley
June 2009 - Present · 16 yrs 11 mos
Previous Registrations
Morgan Stanley & CO. IncorporatedBroker
May 2009 - June 2009 · 1 mo
Morgan Stanley & CO. Incorporated
May 2009 - June 2009 · 1 mo
UBS Financial Services INC.
November 2001 - June 2009 · 7 yrs 7 mos
UBS Financial Services INC.Broker
September 2001 - June 2009 · 7 yrs 9 mos
State Registrations42 states
AKALARAZCACOCTDCDEFLGAHIILINKSKYLAMAMDMIMNMOMTNCNHNJNMNVNYOHOKORPARISCSDTNTXVAWAWIWV
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.