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Tom Earl Barnes

Morgan Stanley

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About Tom Earl Barnes

Tom Barnes is an investment advisor representative who has been in the industry since 1976. Tom is currently registered with Morgan Stanley and has previously worked at WELLS FARGO CLEARING SERVICES, LLC, J.J.B HILLIARD, W.L. LYONS, LLC, UBS PAINEWEBBER INC., J.C. BRADFORD & CO., E. F. HUTTON & COMPANY INC and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. Tom is also a member of the Advisory Board at Southeast Christian Church. Tom holds Series 7, Series 5, Series 63, Series 65, SIE, and PC licenses. Tom is registered in 34 states.

Firm Information

Tom Barnes 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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Tom Barnes’s Registration & Firm History

AZ

03/05/2021 - Present

Morgan Stanley (Phoenix AZ)

KY

11/19/2010 - 03/15/2021

WELLS FARGO CLEARING SERVICES, LLC (LOUISVILLE KY)

KY

03/22/2002 - 11/23/2010

J.J.B HILLIARD, W.L. LYONS, LLC (LOUISVILLE KY)

NJ

08/14/2000 - 04/19/2002

UBS PAINEWEBBER INC. (WEEHAWKEN NJ)

NY

07/30/1982 - 08/14/2000

J.C. BRADFORD & CO. (NEW YORK NY)

NA

01/07/1980 - 08/26/1982

E. F. HUTTON & COMPANY INC

NA

09/26/1978 - 02/04/1980

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NA

03/02/1976 - 09/26/1978

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

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Licenses & Designations

IA

Issued 11/06/1999

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 09/03/1980

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/16/1981

Series 5 - Interest Rate Options Examination

BC

Issued 09/08/1977

PC - AMEX Put and Call Exam

BC

Issued 02/21/1976

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 are 2 public disclosures for Tom Earl Barnes. Review regulatory record here.
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