James Waddell is a registered investment advisor at Morgan Stanley, based in La Jolla, CA, with 45 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, High Net Worth, Investment Management, Retirement Planning. Their firm serves 2,703,720 clients with $2000B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Morgan Stanley Smith Barney LLC charges a fee for its consulting services, which is generally payable quarterly in advance. The maximum fee for the services is $500,000, and fees are negotiable between the client and their private wealth advisor.
Location
1111 Prospect Street, La Jolla, CA, 92037
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Regulatory History (5)
Customer Dispute
July 2002Customer Dispute
July 2002Customer Dispute
June 2001Customer Dispute
October 1991Customer Dispute
April 1988Employment History
Current Registrations
Morgan Stanley
Morgan StanleyBroker
Morgan Stanley
Previous Registrations
Morgan Stanley & CO. IncorporatedBroker
Morgan Stanley & CO. Incorporated
Morgan Stanley
Morgan Stanley Dw INC.Broker
Painewebber IncorporatedBroker
State Registrations39 states
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
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