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Robert Sherwin

Morgan Stanley
45 Years of Experience
Providence, RI
8 DisclosuresBroker
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Robert Sherwin is a registered investment advisor at Morgan Stanley, based in Providence, RI, with 45 years of industry experience. Robert 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.

Morgan Stanley
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23172 advisors
Number of Clients
2,703,720 clients
Average Client Portfolio
$726K average
Assets Under Management
$1961.9B

Fee Structure

Investment management only (planning not offered)

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.

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Location

One Financial Plaza, 19th Floor, Providence, RI, 02903

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History

Regulatory History (8)
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.
Customer Dispute
November 2009
Settled
Customer Dispute
June 2009
Settled
Customer Dispute
September 1992
Award / Judgment
Customer Dispute
March 1992
Settled
Customer Dispute
August 1991
Settled
Customer Dispute
July 1991
Settled
Customer Dispute
January 1991
Settled
Customer Dispute
November 1990
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Robert is the Investment Committee Chairman for the Jewish Federation of RI Endowment Fund, dedicating minimal time. He also owns rental properties and serves on the Advisory Board and Investment Committee for the Rhode Island Community Foundation, spending minimal time on this as well.

Employment History
Current Registrations
Morgan Stanley
June 2009 - Present · 17 yrs 4 mos
Morgan StanleyBroker
June 2009 - Present · 17 yrs 4 mos
Morgan Stanley
June 2009 - Present · 17 yrs 4 mos
Previous Registrations
Morgan Stanley & CO. IncorporatedBroker
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley & CO. Incorporated
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley
September 1995 - April 2007 · 11 yrs 7 mos
Morgan Stanley Dw INC.Broker
May 1995 - April 2007 · 11 yrs 11 mos
Painewebber IncorporatedBroker
January 1995 - April 1995 · 3 mos
Kidder, Peabody & CO. IncorporatedBroker
June 1981 - January 1995 · 13 yrs 7 mos
State Registrations39 states
AZCACOCTDCDEFLGAHIIDILINKSLAMAMDMEMIMNMONCNENHNJNVNYOHOKORPARISCTNTXUTVAVTWAWI
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.
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