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John Habig: Hidden Fees, Disclosures, Lawsuits


Who is John Habig (CRD#: 1372133)?Everything you need to know about John Habig and their accolades

John Habig is an employee at Morgan Stanley. They have worked at Morgan Stanley Smith Barney, Citigroup Global Markets Inc., and Morgan Stanley Private Bank, National Association. Habig can service investors in New Hampshire, North Carolina, and Texas thanks to their Series 63 and Series 65 licenses, which classify them as both securities agents and investment advisor representatives.

John has spent more than 35 years working for Morgan Stanley or its predecessor companies as a Managing Director, Financial Advisor, and Senior Portfolio Management Director. Following graduation from St. Bonaventure University with a degree in Business, he started his work in New York City’s Wall St.

Because of his good fortune, he has had the chance to work with several high-net-worth clientele. He offers complete wealth management solutions to individuals, businesses, and institutions, with a focus on assisting in the growth and preservation of their wealth in addition to giving intelligent counsel on any potential financial or investment concerns.

John offers the following services:
services for financial planning, managing a portfolio for individuals or small enterprises, Investment company portfolio management, business or institutional client portfolio management consultancy services for pensions, choosing additional advisors, workshops, and seminars for education, & Others.

John has received the following accolades as a result of his professionalism, dedication, expertise, and knowledge: recognized to Barron’s list of the Top 1200 Advisors and named to Forbes’ 2022 Best-in-State Wealth Advisors, with the highest ranking in New Hampshire: State by State for 13 years in a row. (Recently, in 2022)

John actively supports the following non-profit groups on the Seacoast: Gather NH, Big Brothers Big Sisters of NH, Coastal Conservation Association, Little Harbor Charitable Foundation, and Prescott Park Art Festival.

He enjoys being outside and is a devoted hunter (and previous registered hunting guide), fisherman, hiker, trained scuba diver, and boater (getting his U.S. Coast Guard Captain’s license in 2019).

The Inca Trail hike in Peru, floating down the Amazon River, exploring the Galapagos Islands, hiking and fishing in Patagonia, scuba diving the Great Barrier Reef in Australia, trekking with mountain gorillas in Uganda, photographing the “big 5” of the Serengeti, and running with the bulls in Pamplona to celebrate turning “50” are just a few of John and Kelly’s favorite adventures.

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Their most difficult and cherished adventure is spending time with their three incredible children and five incredible grandchildren, who reside in Rye, New Hampshire.

In this article, we will go deep into John Habig’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.

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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.

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.


John Habig Disclosures: BrokerCheck, FINRA, And SEC ReportsEvery complaint, disclosure, litigation against John Habig

The brokerCheck report of John Habig includes information such as employment history, professional qualification, disciplinary actions, criminal convictions, civil judgment, and arbitration awards as well as disclosures events.

This adviser has one disclosure document filed that includes three customer disputes.

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.

image 1131

In this case, the client suggested in April 2000 that the mutual fund’s purchases in inherent her account were misrepresented & were not in her best interest.

FINRA’s BrokerCheck

individual_1372133.pdf (

SEC Litigations & Forms

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Source: John Habig – SEC Site Search Search Results


John Habig Lawsuits, Legal Battles, & DisputesActive database of all lawsuit documents (subject to availability) against John Habig

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


John Habig Complaints, Class Action Lawsuits & Legal BattlesRead all class action lawsuits and SEC complaints against John Habig (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 John Habig using the websites down below:

You can contact the law firms mentioned above if facing issues with John Habig or any financial advisor.


Better Alternatives To John Habig (By Experts):Find the top 3 alternatives to John Habig

These recommendations are based on the ratings of, the biggest financial advisor review platform on the internet.
You can check out the top 10 financial advisors in the U.S. to learn more.
Screenshot 2023 05 23 at 11.26.30 PM

Manages Assets Worth

  • $714,587,898,072


  • Financial planning
  • Portfolio management
  • Pension consulting
  • Selection of other advisors
  • Publication of periodicals

Manages Assets Worth

  • $173,418,270,044


  • Financial planning
  • Portfolio management
  • Portfolio assessment
Screenshot 2023 05 23 at 11.45.48 PM

Manages Assets Worth

  • $46,803,858,104


  • Portfolio management

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