James Norman Holzapfel

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

• 05/2009 → 11/2016
  Wells Fargo Advisors Llc
  Hagerstown, MD
• 11/2016 → 06/2020
  Wells Fargo Clearing Services, Llc
  Hagerstown, MD
• 06/2020 → Present
  Morgan Stanley Smith Barney Llc
  Chambersburg, PA
• 12/2020 → Present
  Morgan Stanley Private Bank, N.A
  New York, NY

Previous Registrations

• 1990-10-19 → 2020-06-17
  Wells Fargo Clearing Services, Llc
  Hagerstown, MD
  Hagerstown, MD

Other Businesses

1. TRUSTEE FOR FRIEND; INV RELATED; HAGERSTOWN, MD; START: 2010; 0 HR/MO; 0 DURING TRADING. 2. ST. MARKS EPISCOPAL, NOT INV RELATED, BOONSBORO, MD, FINANCE COMMITTEE MEMBER, START 6/9/2014, 2 HOURS PER MONTH, ZERO DURING TRADING, CHURCH BUDGET REVIEW. 3. *403944 - Washington County Museum of Fine Art; Investment related: No; Hagerstown, Maryland; Charitable; Vice president (proprietor, partner, officer, director, employee, trustee, agent); 07/2015; During business hours: 4; After business hours: 4; Check Signing/Funds Disbursements, Other 4. *403988 - Trust; Investment related -Yes; Hagerstown, Maryland; Trustee; 07/2012; During business hours: 0; After business hours: 1; 5. *468973- Holzapfel Baseball, LLC; Investment related Yes; Hagerstown, Maryland; Recreation; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); 08/2021; During business hours: 0; After business hours: 1; Investment Decisions/Advice, Administrative 6. *475547- Downtown Baseball. LLC; Investment related -Yes; Hagerstown, Maryland; Partner, Manager (proprietor, partner, officer, director, employee, trustee, agent); 07/2021; During business hours: 0; After business hours: 4; Administrative 7. *537924 - University System of Maryland at Hagerstown; Investment related No; Hagerstown, Maryland; Charitable, Non-Profit; Advisory Board (proprietor, partner, officer, director, employee, trustee, agent); 02/2023 ; During business hours: 0; After business hours: 1; Provide insight and advice on local economic issues and employment needs. *569844- HUB City concessions, LLC; Investment related Yes; Hagerstown, Maryland; Recreation; Partner (proprietor, partner, officer, director, employee, trustee, agent); 09/2023; During business hours: 1; After business hours: 0; Administrative * 586715 - Holzapfel Family Charitable Foundation; Investment related-No; Hagerstown, Maryland; Civic/Community, Health and Welfare, Humanitarian; trustee (proprietor, partner, officer, director, employee, trustee, agent); 06/2020; During business hours: 0; After business hours: 2; Investment Decisions/Advice, Check Signing/Funds Disbursements, Administrative

Exams

• S63 Uniform Securities Agent State Law Examination
  1985-07-11

Other Names

• James N Holzapfel