Steven Schwimmer is a registered investment advisor at Morgan Stanley, based in Laguna Niguel, CA, with 45 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
28202 Cabot Road, Suite 500, Laguna Niguel, CA, 92677
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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 StanleyBroker
June 2009 - Present · 17 yrs 1 mo
Morgan Stanley
June 2009 - Present · 17 yrs 1 mo
Previous Registrations
Citigroup Global Markets INC.
July 1997 - June 2009 · 11 yrs 11 mos
Citigroup Global Markets INC.Broker
February 1988 - June 2009 · 21 yrs 4 mos
Shearson Lehman Hutton INC.Broker
March 1983 - February 1988 · 4 yrs 11 mos
Prudential-Bache Securities INC.Broker
October 1980 - April 1983 · 2 yrs 6 mos
State Registrations27 states
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AdvisorBrokerBoth
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Exams
No exam information available for this advisor.