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Elizabeth Roberts
48 Years of Experience
San Rafael, CA
2 DisclosuresBroker
Elizabeth Roberts is a registered investment advisor at Morgan Stanley, based in San Rafael, CA, with 48 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
1101 5th AVENUE, Suite 275, San Rafael, CA, 94901
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Regulatory History (2)
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Customer Dispute
December 2008Denied
Customer Dispute
December 1997Denied
Other Business Activities
Elizabeth serves as the executor and co-trustee for her mother's estate. These investment-related activities require minimal time.
Employment History
Current Registrations
Morgan Stanley
October 2020 - Present · 5 yrs 9 mos
Morgan Stanley
October 2020 - Present · 5 yrs 9 mos
Morgan StanleyBroker
October 2020 - Present · 5 yrs 9 mos
Previous Registrations
Wells Fargo Clearing Services, LLC
April 2009 - October 2020 · 11 yrs 6 mos
Wells Fargo Clearing Services, LLCBroker
April 2009 - October 2020 · 11 yrs 6 mos
Citigroup Global Markets INC.
July 1997 - April 2009 · 11 yrs 9 mos
Citigroup Global Markets INC.Broker
July 1993 - April 2009 · 15 yrs 9 mos
Lehman Brothers INC.Broker
April 1991 - July 1993 · 2 yrs 3 mos
Van Kasper & CompanyBroker
March 1985 - April 1991 · 6 yrs 1 mo
Van Kasper & CompanyBroker
July 1983 - May 1984 · 10 mos
Chandler-Roberts, INC.Broker
June 1983 - March 1985 · 1 yr 9 mos
Sutro & CO. IncorporatedBroker
September 1977 - April 1983 · 5 yrs 7 mos
State Registrations26 states
ALAZCACOCTDEFLGAHIIDILMAMDMIMSMTNCNVNYORPATXUTVAVTWA
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.