Thomas Finnegan is a registered investment advisor at Morgan Stanley, based in New York, NY, with 43 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
1585 Broadway, 21st Floor, New York, NY, 10036
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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
Morgan Stanley & CO. Incorporated
October 2008 - June 2009 · 8 mos
Morgan Stanley & CO. IncorporatedBroker
October 2008 - June 2009 · 8 mos
Barclays Capital INC.Broker
September 2008 - October 2008 · 1 mo
Lehman Brothers INC.
February 2008 - October 2008 · 8 mos
Lehman Brothers INC.Broker
October 2000 - September 2008 · 7 yrs 11 mos
Cantor Fitzgerald SecuritiesBroker
February 1990 - October 2000 · 10 yrs 8 mos
Cantor Fitzgerald PartnersBroker
February 1990 - June 1999 · 9 yrs 4 mos
Kms Corporate Brokers, INC.Broker
November 1986 - February 1990 · 3 yrs 3 mos
Dean Witter Reynolds INC.Broker
November 1980 - December 1984 · 4 yrs 1 mo
State Registrations39 states
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AdvisorBrokerBoth
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Exams
No exam information available for this advisor.