Who is Jesse Bromberg (CRD#: 2598895)?
Jesse Bromberg is a founding partner of the Bromberg Group and a Managing Director at Morgan Stanley. He graduated from the University of Pennsylvania’s Wharton School of Business. Jesse also received a B.A. in Business Economics from the University of California, Santa Barbara.
He has years of expertise in developing and delivering customized planning and investing solutions for high-net-worth households. Jesse, a fully licensed financial expert, provides wealth management plans for customers by focusing on portfolio management. He specializes in global macroeconomic analysis, asset allocation, portfolio hedging, succession, and estate-planning techniques.
This article will go further into Jesse Bromberg’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.
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.
Jesse Bromberg Disclosures: BrokerCheck, FINRA, And SEC
BrokerCheck report of Jesse Bromberg includes information such as employment history, professional qualification, disciplinary actions, criminal convictions, civil judgment, and arbitration awards as well as disclosures events.
According to the BrokerCheck report, a customer dispute type of disclosure has been reported against Jesse Bromberg. In disclosure, the complaint letter alleges that the financial advisor and firm failed to recommend the liquidation of Covad during the first three quarters of the year 2000.
BrokerCheck
Source: https://brokercheck.finra.org/individual/summary/2598895
SEC Litigations & Forms
Source: https://secsearch.sec.gov/search?affiliate=secsearch&sort_by=&query=%27Jesse+Bromberg%27
Jesse Bromberg Lawsuits
Most court cases filed in the United States of America are archived on CourtListener, UniCourt, Law.com, Justia, Trellis.law, and Law360. If Jesse Bromberg 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 Jesse Bromberg that are not listed on these directories. Lawsuit files are often deleted from online directories. So if you cannot find any lawsuits against Jesse Bromberg 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
Jesse Bromberg 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 Jesse Bromberg 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 Jesse Bromberg or any financial advisor.
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