AW
AW
Alan Whitman is a registered investment advisor at Morgan Stanley, based in Pasadena, CA, with 54 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 South Lake Avenue Pasadena Towers - Tower II, Suite 700, Pasadena, CA, 91101
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Regulatory History (2)
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Customer Dispute
December 2005Denied
Customer Dispute
December 2005Denied
Other 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
June 2009 - Present · 16 yrs 11 mos
Morgan Stanley
June 2009 - Present · 16 yrs 11 mos
Previous Registrations
Morgan Stanley & CO. Incorporated
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley & CO. IncorporatedBroker
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley
July 1997 - April 2007 · 9 yrs 9 mos
Morgan Stanley Dw INC.Broker
February 1978 - April 2007 · 29 yrs 2 mos
Dean Witter & CO. IncorporatedBroker
May 1973 - February 1978 · 4 yrs 9 mos
Dean Witter & CO. IncorporatedBroker
December 1971 - May 1973 · 1 yr 5 mos
State Registrations46 states
AKARAZCACOCTDCDEFLGAHIIDILINKSKYMAMDMEMIMNMOMSMTNCNENJNMNVNYOHOKORPARISCSDTNTXUTVAVTVirgin IslandsWAWIWY
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.