Monica Malhoit is a registered investment advisor at Morgan Stanley, based in Naples, FL, with 46 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
Loading...
Location
Naples, FL
Get directionsHistory
Regulatory History (1)
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
August 2013Denied
Other Business Activities
Monica co-owns residential rental property in Perrysburg, Ohio. This activity requires minimal time and does not occur during securities hours.
Employment History
Current Registrations
Morgan Stanley
September 2019 - Present · 6 yrs 8 mos
Morgan StanleyBroker
September 2019 - Present · 6 yrs 8 mos
Morgan Stanley
September 2019 - Present · 6 yrs 8 mos
Previous Registrations
UBS Financial Services INC.
July 2008 - October 2019 · 11 yrs 3 mos
UBS Financial Services INC.Broker
July 2008 - October 2019 · 11 yrs 3 mos
Wachovia Securities, LLCBroker
July 2003 - July 2008 · 5 yrs
Wachovia Securities, LLC
July 2003 - July 2008 · 5 yrs
Prudential Securities Incorporated
March 2000 - July 2003 · 3 yrs 4 mos
Prudential Securities IncorporatedBroker
October 1999 - July 2003 · 3 yrs 9 mos
Salomon Smith Barney INC.Broker
July 1993 - November 1999 · 6 yrs 4 mos
Lehman Brothers INC.Broker
February 1988 - July 1993 · 5 yrs 5 mos
E. F. Hutton & Company INCBroker
September 1987 - February 1988 · 5 mos
Kidder, Peabody & CO. IncorporatedBroker
March 1983 - September 1987 · 4 yrs 6 mos
Wm. C. Roney & CO.Broker
May 1979 - March 1983 · 3 yrs 10 mos
State Registrations17 states
AZCACODCFLINMINCNJNVNYOHPARISCTNUT
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.