James T Brotherton

Employer firm

Morgan Stanley CRD 149777

$1.96T regulatory AUM 416,984 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (investment companies)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2016 → 08/2017
  Morgan Stanley Smith Barney Llc
  Mt. Laurel, NJ
• 07/2017 → 02/2021
  Wells Fargo Clearing Services
  St Louis, NJ
• 02/2021 → Present
  Morgan Stanley
  New York, NY

Previous Registrations

• 2017-09-26 → 2021-02-10
  Wells Fargo Clearing Services, Llc
  St. Louis, MO
  Marlton, NJ
• 2014-07-21 → 2016-02-26
  Morgan Stanley
  Media, PA
  Newtown Square, PA
  Boston, MA
  Mount Laurel, NJ
• 2008-12-22 → 2012-08-23
  Charles Schwab & Co., Inc.
  Wilmington, DE
  Marlton, NJ

Other Businesses

*548052 - William Heritage Winery; Investment related No; Haddonfield, New Jersey; Retail/Online Stores; Employee (proprietor, partner, officer, director, employee, trustee, agent); 04/2023 ; During business hours: 0; After business hours: 10; Customer Service.

Exams

• S65 Uniform Investment Adviser Law Examination
  2008-12-12
• S63 Uniform Securities Agent State Law Examination
  2008-05-05

Other Names

• James Brotherton
• James Thomas Brotherton
• Jim Brotherton