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Expert Review

Thomas Konop: Exposed to FINRA Charges or not? (Update 2024)

Who is Thomas Konop (CRD#: 2251424)?

In Anchorage, Alaska, Thomas Konop works as a financial counselor. He has been a lawyer for 29 years, the last eight of which he spent with Morgan Stanley Private Bank, National Association.

Morgan Stanley’s compensation packages are detailed and so for the advisor Thomas Konop as given below:

  • Fee-only
  • Fee-based
  • Commission-based percentage of assets
  • Commission-based

Thomas Konop is equipped with the following expertise:

Financial Preparation
An advisor who specializes in financial planning can assist you in developing an effective plan to achieve your financial objectives by analyzing your assets, which may include investment, savings, and retirement accounts. If you want to make a significant purchase, such as a house or car, this person can also advise you if it’s a good investment depending on your financial status.

Educational Seminars are available.
If you want to learn more about a financial topic, such as saving for your child’s college education, planning for your retirement, or getting a mortgage, this financial advisor offers instructional seminars.

Individual or Small Business Portfolio Management
Individuals and small-business owners can seek advice from a specialist in this field to help them get the most out of their financial portfolios. Advisors with this knowledge can assist you in selecting appropriate assets and advising you on whether to pursue an aggressive or conservative investing strategy.

Business Portfolio Management
Many firms require assistance in managing their financial investments. A portfolio manager is a financial advisor that creates and manages investment portfolios for midsize and big businesses that include bonds, equities, and funds. This type of portfolio management includes counseling clients on which investments to choose in order to maximize profits, as well as monitoring the portfolio performance of the company.

Services for Pension Consulting
Pension plan administrators frequently require the assistance of a financial advisor to develop an effective investment strategy, select brokers and money managers, select mutual funds for participants, and track investment performance. A pension consultant can aid in establishing pension plans that deliver the best value to beneficiaries and participants.

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.

Financial Planning

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.

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.

11/12/2023 Update
As of now, Thomas Konop 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.

Thomas Konop Disclosures: BrokerCheck, FINRA, And SEC

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

There is a one customer dispute against Thomas Konop.

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.

BrokerCheck:

THOMAS CHRISTOPHER KONOP – Broker at MORGAN STANLEY (finra.org)

SEC Litigations & Forms

image 892

Source: https://secsearch.sec.gov/search?affiliate=secsearch&sort_by=&query=%22MICHAEL+WARR%22

Thomas Konop Lawsuits

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 Konop 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 Michael Warr which are not listed on these directories. Lawsuit files are often deleted from online directories. So if you cannot find any lawsuits against Michael Warr on these websites, then you can contact the local authorities and check if they have a physical copy of any lawsuits.

Thomas Konop Complaints & 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 Konop using the websites down below:

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

Better Alternatives To Thomas Konop :

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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