Who is James Klein(CRD#: 2681952)?
James Klein is a Private Wealth Advisor at Morgan Stanley. He has been in the financial management industry since 1995. He received his BA in Economics from Stanford University in 1994 after graduating from Loyola High School and participating on the football and volleyball teams. James joined Merrill Lynch’s Private Banking and Investment Group in 1995 and worked there for thirteen years before joining Morgan Stanley in 2008.
He was recognized on Forbes Magazine’s list of America’s Best-in-State Wealth Advisors, 2017-2023. Barron’s List of America’s Top 1,200 Financial Advisors, the 2016 Financial Times Top 400 Advisors, and 2006 On Wall Street Top 40 Advisors Under 40. He is a member of the original Morgan Stanley Sports and Entertainment Directors.
This article will go further into James Klein’s past, uncovering hidden disclosures and SEC litigations and analyzing the implications for law.
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 many 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 financial goals and risk tolerance levels.
Financial Planning
Financial planning services offered by Morgan Stanley Wealth Management include retirement, education, and estate planning. Their financial advisors work with clients to understand their financial objectives and develop a comprehensive financial plan to help them achieve those goals.
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.
James Klein Disclosures: BrokerCheck, FINRA, And SEC
The brokerCheck report of James Klein includes information such as employment history, professional qualification, disciplinary actions, criminal convictions, civil judgment, arbitration awards, and disclosure events.
There are no disclosures against James Klein.
BrokerCheck
Source: JAMES ROBERT KLEIN – Broker at MORGAN STANLEY (finra.org)
SEC Litigations & Forms
Source: ‘James Klein’ – SEC Site Search Search Results
James Klein Lawsuits
Most court cases filed in the United States of America are archived on CourtListener, UniCourt, Law.com, Justia, Trellis.law, and Law360. If James Klein 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 James Klein that are not listed on these directories. Lawsuit files are often deleted from online directories. So if you cannot find any lawsuits against James Klein on these websites, then you can contact the local authorities and check if they have a physical copy of any lawsuits.
CourtListener
UniCourt
Law.com
Law360.com
Trellis.law
Justia
James Klein 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 James Klein using the websites down below:
Sonn Law Group
SEC.gov
White Law Group
MDF Law
Israels & Neuman, PLC
Klayman Toskes
Better Alternatives To James Klein:
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
Manages Assets Worth
- $4,465,757,285
Services
- Financial planning
- Portfolio management
- Pension consulting
- Selection of other advisors (including private fund managers)
Manages Assets Worth
- $302,000,000
Services
- Financial planning
- Portfolio management
