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James Francis Kwei

Morgan Stanley

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About James Francis Kwei

James Kwei is a financial advisor with Morgan Stanley, located in La Jolla, CA. James has been in the financial services industry since 1991. Prior to joining Morgan Stanley, James worked for Charles Schwab & Co., Inc. , UBS Financial Services Inc. and WM Financial Services, Inc. James has a strong track record of providing comprehensive financial advice to a wide range of clients, including individuals, families, and businesses. James is committed to helping clients achieve their financial goals through personalized financial planning, investment management, and retirement planning. James holds Series 3, 7, 63 and 65 securities licenses. James holds Series 3, 7, 63 and 65 securities licenses.

Firm Information

James Kwei is currently registered with Morgan Stanley. Morgan Stanley is a Limited Liability Company based in PURCHASE, NY, formed in 2009. They offer a wide range of advisory services, including financial planning, pension consulting, educational seminars, and selection of other advisors. Their client base includes individuals, high-net-worth individuals, investment clubs, corporations, insurance companies, investment companies, charitable organizations, pension and profit-sharing plans, and state or municipal government entities. Morgan Stanley manages approximately $10 billion to $50 billion in assets. Their website addresses are HTTP://WWW.MORGANSTANLEYCLIENTSERV.COM and HTTP://WWW.MORGANSTANLEY.COM.
Morgan Stanley

2000 WESTCHESTER AVENUE

PURCHASE, NY 10577-2530

$1.40T

Assets Under Management

335,385

Total Clients

23,624

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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portfolio management for investment companies

Strategic management for diversified investment portfolios.

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asset allocation advice

Asset allocation advice

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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performance-based fees

Fees calculated based on the performance of your investments relative to a benchmark.

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other

See schedule d miscellaneous

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James Kwei’s Registration & Firm History

CA

02/08/2016 - Present

Morgan Stanley (La Jolla CA)

CA

11/08/2005 - 02/11/2016

CHARLES SCHWAB & CO., INC. (SAN DIEGO CA)

NJ

12/10/2004 - 11/15/2005

UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)

CA

09/01/2004 - 12/02/2004

WM FINANCIAL SERVICES, INC. (IRVINE CA)

NY

11/20/1998 - 01/15/2003

SALOMON SMITH BARNEY INC. (NEW YORK NY)

NY

10/07/1994 - 11/30/1998

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NY

06/12/1991 - 10/17/1994

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

NA

05/01/1991 - 06/28/1991

AIMCO SECURITIES COMPANY, INC.

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Licenses & Designations

IA

Issued 04/13/1995

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/30/1990

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/25/1991

Series 3 - National Commodity Futures Examination

BC

Issued 04/29/1991

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE American LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There is public disclosure for James Francis Kwei. Review regulatory record here.
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