Alan Whitman is a registered investment advisor at Morgan Stanley, based in Pasadena, CA, with 54 years of industry experience. Alan 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
55 South Lake Avenue Pasadena Towers - Tower II, Suite 700, Pasadena, CA, 91101
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Regulatory History (2)
Customer Dispute
December 2005Customer Dispute
December 2005Other Business Activities
Alan is a board member of the Midgley Family Foundation since 2009, spending minimal time outside of business hours on this activity. This activity is investment-related.
Employment History
Current Registrations
Morgan StanleyBroker
Morgan Stanley
Previous Registrations
Morgan Stanley & CO. Incorporated
Morgan Stanley & CO. IncorporatedBroker
Morgan Stanley
Morgan Stanley Dw INC.Broker
Dean Witter & CO. IncorporatedBroker
Dean Witter & CO. IncorporatedBroker
State Registrations46 states
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
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