Expert Review

Thomas Frame: Exposed with the Allegations of SEC (Update 2024)

1

Who is Thomas Frame (CRD#: 2285163)?

Thomas Frameworks as an advisor at Morgan Stanley in Greenwich, Connecticut. Thomas Frame has been employed for the past 26 years. Morgan Stanley is their current employer. Thomas Frame has already completed the Series 63 and Series 65 examinations and is registered in Connecticut to provide investment advice. Thomas Frame may also provide consulting services in other states where registration or notice filing is not required.

Morgan Stanley is a financial advisory firm headquartered in Greenwich, Connecticut. Morgan Stanley has 15,000 advisors on its advisory team. The average adviser-to-client ratio is one advisor for every 175 clients, but advisors may deal with a greater or lesser number of clients depending on firm practices.

The fees charged by financial advising businesses varied according to the services provided to each customer. Morgan Stanley offers services such as financial planning, portfolio management for individuals and/or small businesses, portfolio management for investment companies, portfolio management for businesses (other than small businesses), or institutional clients (other than registered investment companies and other pooled investment vehicles), pension consulting, selection of other advisers, and educational seminars/workshops.

2

About FIRM: Morgan Stanley

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.

28/11/2023 Update
As of now, Thomas Frame 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.
3

Thomas Frame Disclosures: BrokerCheck, FINRA, And SEC Reports

The brokerCheck report of Thomas Frame includes information such as employment history, professional qualification, disciplinary actions, criminal convictions, civil judgment, arbitration awards, and disclosure events.

There is no disclosure against Thomas Frame.

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.

FINRA’s BrokerCheck

individual_2285163.pdf (finra.org)

SEC Litigations & Forms

image 1060

Source: thomas frame – SEC Site Search Search Results

4

Thomas Frame Lawsuits, Legal Battles, & Disputes

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

5

Thomas Frame Complaints, Class Action Lawsuits & 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 Thomas Frame using the websites down below:

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

6

Frequently Asked QuestionsFind the answers to your most common questions related to NAME & FIRM

Where is NAME located?

Greenwich

What are NAME’s qualifications

Finanace

Is NAME facing any lawsuits?

no

Has NAME been charged by the SEC?

no

How do I contact NAME?

Morgan Stanley

Does NAME have any disclosures?

no

Which Firm does NAME work with?

Morgan Stanley

What is NAME’s CRD Number?

CRD#: 2285163
7

Better Alternatives To Thomas Frame (By Experts):Find the top 3 alternatives to Thomas Frame

These recommendations are based on the ratings of SmartAsset.com, 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

Services

  • Financial planning
  • Portfolio management
  • Pension consulting
  • Selection of other advisors
  • Publication of periodicals
1625686851535

Manages Assets Worth

  • $173,418,270,044

Services

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

Manages Assets Worth

  • $46,803,858,104

Services

  • Portfolio management

We will be happy to hear your thoughts

Leave a reply

Gripeo
Logo