MS
Morgan D. Stevens
MORGAN STEVENS ASSET MANAGEMENT
Coto De Caza, CA
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CRD#: 6221158
MS
Professional summary
Morgan D Stevens is a registered financial advisor currently at MORGAN STEVENS ASSET MANAGEMENT, LLC located in Coto De Caza, California.
Morgan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Morgan has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
MORGAN DAVID STEVENS IS AN INDEPENDENT LICENSED INSURANCE AGENT, AND FROM TIME TO TIME, WILL OFFER CLIENTS ADVICE OR PRODUCTS FROM THOSE ACTIVITIES. CLIENTS SHOULD BE AWARE THAT THESE SERVICES PAY A COMMISSION OR OTHER COMPENSATION AND INVOLVE A CONFLICT OF INTEREST, AS COMMISSIONABLE PRODUCTS CONFLICT WITH THE FIDUCIARY DUTIES OF A REGISTERED INVESTMENT ADVISER. MSAM ALWAYS ACTS IN THE BEST INTEREST OF THE CLIENT; INCLUDING THE SALE OF COMMISSIONABLE PRODUCTS TO ADVISORY CLIENTS. CLIENTS ARE IN NO WAY REQUIRED TO UTILIZE THE SERVICES OF ANY REPRESENTATIVE OF MSAM IN CONNECTION WITH SUCH INDIVIDUAL'S ACTIVITIES OUTSIDE OF MSAM.
MORGAN STEVENS IS A REGISTERED REPRESENTATIVE OF NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC. FROM TIME TO TIME, HE WILL OFFER CLIENTS ADVICE OR PRODUCTS FROM THOSE ACTIVITIES. CLIENTS SHOULD BE AWARE THAT THESE SERVICES PAY A COMMISSION OR OTHER COMPENSATION AND INVOLVE A CONFLICT OF INTEREST, AS COMMISSIONABLE PRODUCTS CONFLICT WITH THE FIDUCIARY DUTIES OF A REGISTERED INVESTMENT ADVISER. MSAM ALWAYS ACTS IN THE BEST INTEREST OF THE CLIENT, INCLUDING WITH RESPECT TO THE SALE OF COMMISSIONABLE PRODUCTS TO ADVISORY CLIENTS. CLIENTS ARE IN NO WAY REQUIRED TO PURCHASE SUCH SERVICES OR PRODUCTS THROUGH ANY REPRESENTATIVE OF MSAM IN SUCH INDIVIDUAL'S OUTSIDE CAPACITIES.
MORGAN STEVENS IS AN INVESTMENT ADVISER REPRESENTATIVE WITH ANOTHER INVESTMENT ADVISORY FIRM. FROM TIME TO TIME, HE MAY OFFER CLIENTS ADVICE OR PRODUCTS FROM THOSE ACTIVITIES AND CLIENTS SHOULD BE AWARE THAT THESE SERVICES MAY INVOLVE A CONFLICT OF INTEREST. MSAM ALWAYS ACTS IN THE BEST INTEREST OF THE CLIENT AND CLIENTS ARE IN NO WAY REQUIRED TO USE THE SERVICES OF ANY REPRESENTATIVE OF MSAM IN CONNECTION WITH SUCH INDIVIDUAL'S ACTIVITIES OUTSIDE OF MSAM.
CRS (Client Relationship Summary) - RIA
Click below to view Morgan D Stevens's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 19, 2015 - Present
MORGAN STEVENS ASSET MANAGEMENT, LLC
RIA
CRD#: 174928
Coto De Caza, CA
Past
May 29, 2014 - February 26, 2015
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
IRVINE, CA
Past
September 23, 2013 - February 26, 2015
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
IRVINE, CA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
California(2/19/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
MS
MORGAN STEVENS ASSET MANAGEMENT, LLC
MORGAN STEVENS ASSET MANAGEMENT, LLC
CRD#: 174928 / SEC#:
California
Registered Investment Advisory firm - (2/19/2015 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
Coto De Caza, CA
Mailing Address
Phone number
(714) 878-0226
Established
Firm type
Fiscal year end
# of Employees
1
Regulatory assets under management
| Total Number of Accounts | 72 |
| AUM (Assets Under Management) | $ 70,908,398 |
Red Flags
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