Shaun Small, financial advisor Yardley PA
93 score

Shaun Small

CRD Number: 5397023
Current Firm: Morgan Stanley

Shaun Small (CRD# 5397023) is an Investment Advisor Representative working at Morgan Stanley in Yardley, PA and has over 10 years of experience in the finance industry.

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Company Name Location Dates Years
Morgan Stanley Private Bank, National Association New York, NY Jan 2015 - Current 3
Morgan Stanley Smith Barney Philadelphia, PA Jun 2009 - Current 8
Citigroup Global Markets Inc. Philadelphia, PA Aug 2007 - Current 10
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Oct 2007
Contact Info for Shaun D. Small
Phone Number: 914-225-5510
Registered State(s):
  • PA
By the Numbers
  • Total Assets Under Management
    598,503
    MILLIONS
  • Total Number of Accounts
    1,610,240
    ACCOUNTS
  • Average Account Value
    $371,685
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for investment companies (as well as "business development companies")
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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