Lawrence Kaplan is a registered investment advisor at Morgan Stanley, based in Chicago, IL, with 40 years of industry experience. Lawrence 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
233 South Wacker Drive, Suite 8600, Chicago, IL, 60606
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Regulatory History (1)
Regulatory
May 1984Other Business Activities
Lawrence is a Grantor and Trustee involved in lending activities since 2015. He dedicates minimal time to this administrative role.
Employment History
Current Registrations
Morgan StanleyBroker
Morgan Stanley
Morgan Stanley
Previous Registrations
Morgan Stanley & CO. Incorporated
Morgan Stanley & CO. IncorporatedBroker
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
Lehman Brothers INC.Broker
Lee Harris and CompanyBroker
Individuals' Financial Services, IncorporatedBroker
State Registrations34 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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