James Clause is a registered investment advisor at Morgan Stanley, based in New York, NY, with 22 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
55 East 52nd Street, 7th Floor, New York, NY, 10055
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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
February 2014 - Present · 12 yrs 3 mos
Morgan StanleyBroker
December 2013 - Present · 12 yrs 5 mos
Previous Registrations
Wells Fargo Advisors, LLC
September 2013 - November 2013 · 2 mos
Wells Fargo Advisors, LLCBroker
October 2010 - November 2013 · 3 yrs 1 mo
Banc of America Investment Services, INC.Broker
August 2006 - January 2009 · 2 yrs 5 mos
PNC InvestmentsBroker
December 2004 - July 2006 · 1 yr 7 mos
Commerce Capital Markets, INC.Broker
July 2002 - December 2004 · 2 yrs 5 mos
Ladenburg Capital Management INC.Broker
March 2002 - April 2002 · 1 mo
State Registrations43 states
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AdvisorBrokerBoth
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Exams
No exam information available for this advisor.