Stephen Brooks is a registered investment advisor at Morgan Stanley, based in Louisville, KY, with 21 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
4969 US Highway 42, Suite 1200, Louisville, KY, 40222
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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 2022 - Present · 4 yrs 3 mos
Morgan StanleyBroker
February 2022 - Present · 4 yrs 3 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
January 2015 - January 2022 · 7 yrs
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
November 2014 - January 2022 · 7 yrs 2 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 2009 - July 2013 · 3 yrs 9 mos
Banc of America Investment Services, INC.Broker
October 2004 - October 2009 · 5 yrs
Quick & Reilly, INC.Broker
December 2002 - October 2004 · 1 yr 10 mos
State Registrations1 state
KY
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.