DF
DF
David Finston is a registered investment advisor at Morgan Stanley, based in Palo Alto, CA, with 6 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
1400 Page Mill Road, Palo Alto, CA, 94304
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.
Financial
October 2019Final
Employment History
Current Registrations
Morgan Stanley
September 2023 - Present · 2 yrs 8 mos
Morgan StanleyBroker
March 2023 - Present · 3 yrs 2 mos
Previous Registrations
E*trade Securities LLCBroker
February 2022 - September 2023 · 1 yr 7 mos
E*trade Capital Management, LLC
February 2022 - September 2023 · 1 yr 7 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
January 2020 - February 2022 · 2 yrs 1 mo
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
November 2019 - February 2022 · 2 yrs 3 mos
Northwestern Mutual Investment Services, LLCBroker
July 2019 - September 2019 · 2 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
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.