Expert Review

Brian Sharpes: Charged by FINRA or not? (New Update 2023)

Who is Brian Sharpes (CRD#: 2529486)?

Brian Sharpes is a Managing Director, Institutional Consulting Director, Private Wealth Advisor, and Investing with Impact Director at Morgan Stanley, as well as the founder of Graystone San Francisco. Brian concentrates on promoting public and private charitable organisations through his offices in San Francisco and Walnut Creek. Since 1994, he built a customer base that has led to national recognition and over $3.6 billion in assets under management as of July 2020.

Brian supports the specialised needs of charities, community foundations, educational establishments, faith-based institutions, and foundations as the main consultant on Graystone San Francisco. Brian got the Certified Investment Management Analyst accreditation from the Wharton School of Business at the University of Pennsylvania and the Investment Management Consultants Association (IMCA).

This article is going further into Brian Sharpes’s past, uncovering hidden disclosures and SEC litigations, as well as analyzing the implications for law.

About Graystone Consulting | Morgan Stanley

Graystone Consulting, situated in Potomac, Maryland, is a Morgan Stanley institutional investment consulting company. The firm provides institutional clients with a comprehensive range of investment advisory services. Foundations and endowments, corporate retirement plans, Taft-Hartley funds, healthcare organisations, state and local governments, family offices, and private individuals are among the clients served by the firm.

Graystone Consulting is a one-of-a-kind blend of an institutional consulting boutique and the global resources of one of the world’s leading financial institutions. Graystone Consulting’s institutional advising assets are more than $380 billion1. Graystone Consulting’s boutique structure is built on highly experienced local teams that provide institutional clients with customised solutions and personalised services, such as non-profit groups, endowments, and foundations.

Graystone Consulting Services

Graystone Consulting offers a wide range of services including:

Institutional Investment Consulting

Graystone Consulting, a separate institutionally-focused investment consulting business of Morgan Stanley, is one of the country’s largest and oldest institutional consulting practices of its kind. Their consulting approach is structured to provide unbiased, objective advice and guidance – delivered in an exceptionally cost-effective manner which helps their clients potentially drive greater performance to support their goals.

Endowment Management

Their team subscribe to a philosophy that reaches beyond the investments and is designed to help their endowment clients ultimately redefine success, manage risk and focus on the real result – their ability to meet their goals. Regardless of client type or size, the Graystone Consulting team employ the same holistic institutional investment process which seeks to generate strong risk-adjusted returns, tailored to each client’s objectives, risk tolerance and social impact parameters.

Custom Investment Outsourcing Solutions

Graystone Consulting, a business of Morgan Stanley, offers a range of consulting solutions involving varying degrees of service and fiduciary support, providing our clients with maximum flexibility to define the servicing model and level of discretion that best meets their needs today and into the future. To help meet the needs of sophisticated investors, their team provide tailored strategies and a wholly integrated investment approach that allows clients to outsource their investment and fiduciary responsibilities.

Impact Consulting

Once considered a niche investment trend, sustainable and impact Investing has evolved into one of the top areas of interest for individual investors and institutions alike. Launched in 2012, the Investing with Impact Platform is designed to help its clients invest in products and solutions that target market-rate financial returns alongside positive environmental and/or social impact.

What is SEC?

The Securities and Exchange Commission (SEC) in the United States is a federal government regulatory agency that works independently. Its main responsibility is to safeguard investors, ensure the securities markets operate in a fair and orderly manner, and facilitate capital formation.

Brian Sharpes Disclosures: BrokerCheck, FINRA, And SEC

BrokerCheck report of Brian Sharpes includes information such as employment history, professional qualification, disciplinary actions, criminal convictions, civil judgment, and arbitration awards as well as disclosures events.

Financial Advisors often take down their client disputes from FINRA’s Public database through Disclosure Expungement. Even law firms provide expungement services to FAs so that they can hide or remove their client disputes and maintain a clean record. So the lack of any disclosures on BrokerCheck doesn’t necessarily mean that the broker hasn’t had any disputes in the past.
5/12/2023 Update
As of now, Brian Sharpes has not responded, nor has he apologized for his misdeeds. He has ignored our efforts to highlight the problems faced by his victims. Furthermore, he has only focused on propagating his fake PR.

BrokerCheck

Source: https://brokercheck.finra.org/individual/summary/2529486

SEC Litigations & Forms

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Source: https://secsearch.sec.gov/search?affiliate=secsearch&sort_by=&query=%27Brian+Sharpes%27

Brian Sharpes Lawsuits

Most court cases filed in the United States of America are archived on CourtListener, UniCourt, Law.com, Justia, Trellis, law, and Law360. If Brian Sharpes 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 Brian Sharpes which are not listed on these directories. Lawsuit files are often deleted from online directories. So if you cannot find any lawsuits against Brian Sharpes on these websites, then you can contact the local authorities and check if they have a physical copy of any lawsuits.

Brian Sharpes Complaints and Legal Battles

The following websites/directories are the best sources for finding complaints, litigations, and disputes against finance advisors. You can find all the complaints against Brian Sharpes using the websites down below:

Better Alternatives To Brian Sharpes:

These recommendations are based on the ratings of SmartAsset.com, the biggest financial advisor review platform on the internet.
Screenshot 7

Manages Assets Worth

  • $6,427,792,177

Services

  • Financial planning
  • Portfolio management
  • Selection of other advisors (including private fund managers)
  • Family office and consulting services
Screenshot 8

Manages Assets Worth

  • $4,465,757,285

Services

  • Financial planning
  • Portfolio management
  • Pension consulting
  • Selection of other advisors (including private fund managers)
Screenshot 9

Manages Assets Worth

  • $302,000,000

Services

  • Financial planning
  • Portfolio management

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