MM
CFP
MM
CFP
Michael Mcginnis
21 Years of Experience
Santa Barbara, CA
1 DisclosureBroker
Michael Mcginnis is a CFP-designated registered investment advisor at Morgan Stanley, based in Santa Barbara, CA, 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
Loading...
Location
1332 Anacapa Street, 2nd Floor, Santa Barbara, CA, 93101
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
April 2009Denied
Other Business Activities
Michael co-owns two rental properties, one since 2001 and another since 2008. These activities are investment-related and require minimal time.
Employment History
Current Registrations
Morgan Stanley
June 2009 - Present · 16 yrs 11 mos
Morgan StanleyBroker
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
June 2004 - April 2007 · 2 yrs 10 mos
Morgan Stanley Dw INC.Broker
May 2004 - April 2007 · 2 yrs 11 mos
State Registrations36 states
ARAZCACOCTDCFLGAHIIAIDILLAMAMDMEMIMOMSMTNCNJNMNVNYORPASCTNTXVAVTWAWIWVWY
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.