SM
SM
Stephen Malone
49 Years of Experience
Alpharetta, GA
3 DisclosuresBroker
Stephen Malone is a registered investment advisor at Morgan Stanley, based in Alpharetta, GA, with 49 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
2400 Lakeview Parkway Suite 300, Alpharetta, GA, 30009
Get directionsHistory
Regulatory History (3)
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Customer Dispute
June 2004Denied
Customer Dispute
May 2002Closed-No Action
Customer Dispute
April 2001Settled
Employment History
Current Registrations
Morgan Stanley
August 2017 - Present · 8 yrs 9 mos
Morgan StanleyBroker
August 2017 - Present · 8 yrs 9 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
August 1983 - August 2017 · 34 yrs
Merrill Lynch, Pierce, Fenner & Smith, INC.Broker
June 1976 - September 1978 · 2 yrs 3 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
May 1976 - August 2017 · 41 yrs 3 mos
State Registrations39 states
ALAZCACOCTDEFLGAHIILINKSKYLAMAMDMIMNMOMSMTNCNDNENJNYOKORPARISCTNTXUTVAVTWAWIWV
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.