Matthew Marks

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

• 06/2016 → 12/2016
  Morgan Stanley Smith Barney Llc
  Cornelius, NC
• 12/2016 → 09/2025
  Wells Fargo Clearing Services
  Charlotte, NC
• 09/2025 → Present
  Morgan Stanley Smith Barney Llc
  Charlotte, NC

Previous Registrations

• 2016-12-20 → 2025-09-30
  Wells Fargo Clearing Services, Llc
  Charlotte, NC
  St. Louis, MO
  Charlotte, NC
  Charlotte, NC
  Charlotte, NC
  Fort Mill, SC
• 2016-06-07 → 2016-12-06
  Morgan Stanley
  Cornelius, NC
• 2014-01-13 → 2016-06-02
  Wells Fargo Clearing Services, Llc
  Columbia, SC
• 2013-08-29 → 2014-01-08
  Raymond James & Associates, Inc.
  Sarasota, FL
• 2009-12-21 → 2013-08-19
  Oppenheimer & Co. Inc.
  Asheville, NC
• 2009-06-01 → 2009-12-19
  Morgan Stanley
  Asheville, NC
• 1997-11-06 → 2009-06-01
  Citigroup Global Markets Inc.
  Sarasota, FL
  Sarasota, FL
  Asheville, NC

Other Businesses

*662905- You Matter Daily; Investment related: No; Charlotte, North Carolina; Recreation; Owner (proprietor, partner, officer, director, employee, trustee, agent); 10/2025; During business hours: 0; After business hours: 8; Administrative

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-10-22
• S63 Uniform Securities Agent State Law Examination
  1997-05-22

Other Names

• Mathew J Marks
• Matthew Joseph Marks