Lia Roby is a registered investment advisor at Morgan Stanley, based in Seattle, WA, with 20 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
601 Union Street, Two Union Square, Suite 5200, Seattle, WA, 98101
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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
July 2022 - Present · 3 yrs 10 mos
Morgan StanleyBroker
July 2022 - Present · 3 yrs 10 mos
Previous Registrations
E*trade Capital Management, LLC
April 2018 - September 2023 · 5 yrs 5 mos
E*trade Securities LLCBroker
August 2017 - September 2023 · 6 yrs 1 mo
OptionshouseBroker
January 2015 - August 2017 · 2 yrs 7 mos
Optionshouse, LLCBroker
December 2011 - January 2015 · 3 yrs 1 mo
Capstone InvestmentsBroker
April 2011 - December 2011 · 8 mos
Barrington Research Associates, INC.Broker
July 2005 - April 2011 · 5 yrs 9 mos
State Registrations1 state
WA
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.