Alexander Cutting Plum

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

• 05/2013 → 07/2018
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY
• 07/2018 → 11/2022
  Sumzero, Inc.
  New York, NY
• 06/2020 → 08/2021
  Gwn Securities, Inc.
  Palm Beach Gardens, FL
• 11/2022 → 03/2023
  First Republic Securities Company, Llc
  New York, NY
• 11/2022 → 03/2023
  First Republic Investment Management, Inc.
  New York, NY
• 05/2021 → Present
  The Wharton School, University Of Pennsylvania
  Philadelphia, PA
• 03/2023 → Present
  Morgan Stanley Smith Barney Llc
  New York, NY
• 04/2023 → Present
  Morgan Stanley Private Bank, N.A
  New York, NY

Previous Registrations

• 2022-11-29 → 2023-04-10
  J.P. Morgan Private Wealth Advisors Llc
  New York, NY
• 2020-07-28 → 2021-08-29
  Gwn Securities Inc.
  Brooklyn, NY
  Palm Beach Gardens, FL
  Bridgewater, NJ
  Philadelphia, PA
  Washington, DC
• 2014-05-12 → 2018-07-27
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY

Exams

• S66 Uniform Combined State Law Examination
  2014-05-08

Other Names

• Alex Plum
• Alexander C Plum