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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you F? Claim Your ProfileFranz Thomas Schlappatha is an investment advisor representative with Morgan Stanley. He is based in Torrance, CA and has been in the industry since 1995. Franz Thomas Schlappatha holds a Series 63 license for securities and a Series 65 license for investments. He is also a registered principal with the Series 10 and Series 9 licenses. Franz Thomas Schlappatha has been registered with Morgan Stanley since 2009 and previously worked for Morgan Stanley & Co. Incorporated and Morgan Stanley DW Inc. He is a partner in Evalyn LLC, a rental property management company. Franz Thomas Schlappatha offers financial planning, portfolio management, and pension consulting services to a wide range of clients. He has experience working with individuals, corporations, high net worth individuals, insurance companies, investment companies, charitable organizations, pension and profit-sharing plans, and state or municipal government entities.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation advice
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CA
06/01/2009 - Present
Morgan Stanley (Torrance CA)
CA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (TORRANCE CA)
CA
09/08/1995 - 04/02/2007
MORGAN STANLEY DW INC. (TORRANCE CA)
IA
Issued 10/06/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/15/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/30/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/30/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/22/1995
Series 31 - Futures Managed Funds Examination
BC
Issued 09/07/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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