William Stern is a registered investment advisor at Morgan Stanley, based in La Jolla, CA, with 49 years of industry experience. William 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 (1)
Employment Separation After Allegations
February 2001Other Business Activities
William co-owns Stern-Felt Properties and is an advisory director for FM Jam, dedicating minimal time to each. He is also involved with Chateau Rum Row, a holding company, since 2016.
Employment History
Current Registrations
Morgan StanleyBroker
Morgan Stanley
Previous Registrations
Morgan Stanley & CO. IncorporatedBroker
Morgan Stanley & CO. Incorporated
Morgan Stanley
Morgan Stanley Dw INC.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith, INC.Broker
State Registrations31 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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