Who is Adam Landau (CRD#: 2204351)?Everything you need to know about Adam Landau and their accolades
In Charlotte, North Carolina, Adam Landau is a member of the Morgan Stanley advisory group. For the past 31 years, Adam Landau has been employed. They work at Morgan Stanley at the moment.
Adam is qualified to offer financial advice in North Carolina and the District of Columbia since he has already completed the Series 63 and Series 65 exams. Under a valid state exemption from registration or notice filing, Adam Landau is also permitted to offer advisory services in other states.
Services offered by Adam include:
- Financial Planning
- Provides Educational Seminars
- Portfolio Management for Individuals or Small Businesses
- Pension Consulting Services
The location of Adam’s office is 6805 Carnegie Boulevard, Suite 400, Charlotte, NC 28211
In this article, we will go deep into Adam Landau’s past, discovering hidden disclosures and analyzing the consequences of the lawsuits.
About FIRM:History, achievements, leadership, lawsuits, & disputes
About Morgan Stanley Wealth Management:
Morgan Stanley Wealth Management, an American multinational financial services corporation, specializes in retail brokerage and asset management. As a division of Morgan Stanley, it serves a wide range of clients, from individual investors and small-to-mid-sized businesses to large corporations, non-profit organizations, and family foundations. With a strong history and a proven track record, Morgan Stanley Wealth Management has become a leading choice for those seeking expert financial advice and guidance.
Early Beginnings: Smith Barney & Co.
Morgan Stanley Wealth Management has its roots in the 1938 merger of Charles D. Barney & Co. and Edward B. Smith & Co., which formed Smith Barney & Co. Charles D. Barney & Co., founded by Charles D. Barney in 1873, was a New York and Philadelphia-based firm that emerged from the failure of its predecessor, Jay Cooke & Company. Edward B. Smith & Co., founded in 1892, became a significant player in securities underwriting in 1934 after absorbing the professionals from the securities business of Guaranty Trust Company, following the passage of the Glass-Steagall Act.
Morgan Stanley Wealth Management offers a comprehensive suite of financial services to cater to the diverse needs of its clients. Some of these services include:
Investment Management
Morgan Stanley Wealth Management provides a wide range of investment options, including stocks, bonds, mutual funds, exchange-traded funds (ETFs), and more. Their financial advisors help clients develop tailored investment strategies to meet their specific financial goals and risk tolerance levels.
Financial Planning
Financial planning services offered by Morgan Stanley Wealth Management include retirement planning, education planning, estate planning, and more. Their financial advisors work with clients to understand their financial objectives and develop a comprehensive financial plan to help them achieve those goals.
What is a Financial Advisor?
A financial advisor is a specialist who offers professional financial advice to people looking to accomplish particular financial goals. You work with a financial advisor to develop a thorough financial plan that is specific to your situation, much like you would hire an architect to construct the blueprint for your home. Understanding your existing financial condition, including your income, costs, savings, and spending patterns, is a requirement for this collaboration.
Banking and Lending
Morgan Stanley Wealth Management offers banking and lending solutions, such as cash management accounts, mortgages, home equity loans, and lines of credit to help clients manage their day-to-day financial needs and achieve their long-term financial goals.
Insurance and Annuities
To help clients protect their financial future, Morgan Stanley Wealth Management offers insurance and annuity products, including life insurance, long-term care insurance, and annuities, designed to provide financial stability and peace of mind.
Philanthropy and Social Impact Investing
Morgan Stanley Wealth Management offers philanthropic advisory services and social impact investing options for clients who want to align their investments with their values and make a positive impact on society.
Adam Landau Disclosures: BrokerCheck, FINRA, And SEC ReportsEvery complaint, disclosure, litigation against Adam Landau
The brokerCheck report of Adam Landau includes information such as employment history, professional qualification, disciplinary actions, criminal convictions, civil judgment, and arbitration awards as well as disclosure events.
In this case, the broker has been reported along with the notification regarding a customer dispute.
This type of disclosure event involves:
(1) a consumer-initiated, investment-related arbitration or civil suit containing allegations of sales practice violations against the individual broker that was dismissed, withdrawn, or denied; or
(2) a consumer-initiated, Investment-related written complaint containing allegations that the broker engaged in sales practice violations resulting in compensatory damages of at least $5,000, forgery, theft, or misappropriation, or conversion of funds or securities, which was closed without action, withdrawn, or denied.
The client claimed that the purchase of a mutual fund in this instance was misrepresented. Unspecified losses alleged, but over $5,000 Smith Bailey, Inc.
FINRA’s BrokerCheck
individual_2204351.pdf (finra.org)
SEC Litigations & Forms
Source: Adam Landau – SEC Site Search Search Results
Adam Landau Lawsuits, Legal Battles, & DisputesActive database of all lawsuit documents (subject to availability) against Adam Landau
Most court cases filed in the United States of America are archived on CourtListener, UniCourt, Law.com, Justia, Trellis, law, and Law360. If Adam Landau has been involved in any such lawsuits, then you can find the documents using the links down below:
There might be more pending lawsuits against Adam Landau which are not listed on these directories. Lawsuit files are often deleted from online directories. So if you cannot find any lawsuits against Adam Landau on these websites, you can contact the local authorities and check if they have a physical copy of any cases.
CourtListener
UniCourt
Law.com
Law360.com
Trellis.law
Justia
Adam Landau Complaints, Class Action Lawsuits & Legal BattlesRead all class action lawsuits and SEC complaints against Adam Landau (if available)
The following websites/directories are the best sources for finding complaints, litigations, and disputes against finance advisors. You can find all the complaints against Adam Landau using the websites down below:
Sonn Law Group
SEC.gov
White Law Group
MDF Law
Israels & Neuman, PLC
Klayman Toskes
You can contact the law firms mentioned above if facing issues with Adam Landau or any financial advisor.
Better Alternatives To Adam Landau (By Experts):Find the top 3 alternatives to Adam Landau
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