The Vector Group Brochure

THE VECTOR GROUP at MORGAN STANLEY
Morgan Stanley Smith Barney LLC Member SIPC
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WE MAKE YOUR MONEY WORK
SO YOU CAN MAKE THE WORLD WORK
THE VECTOR GROUP at MORGAN STANLEY
1290 Avenue of Americas, 12th Floor, New York, NY 10104
www.vectorgroupfinancial.com
Vec·tor (VEK-ter) n. magnitude and direction
—Miriam Webster Dictionary
Our Mission:
Our clients work with us because we understand them. Most of us have been leaders in other related fields
before coming together as The Vector Group. Between us in our former roles, we’ve structured over $9 billion
in complex financing for public entities, we’ve created proprietary trading products such as one of the country’s
first stripped bond programs, and we’ve made several different successful exits from closely held companies. Our
clients know that we’ve been in their shoes and that everything we do is tailored to meet their needs.
It’s our job to simplify our clients’ lives with sophisticated, highly personalized solutions. We deliver results to
them by striving to provide the best service with the most direct access to investment solutions.
Our Focus & Strengths:
TRANSPARENCY
n We strive to help our clients to have complete visibility into all of their investments
and how they work and related costs
n Present a clear path and timeline of how the steps in the investment process work
CONNECTIVITY
n We make our entire network available for the use and benefit of our clients, as appropriate
n Access to thought leaders and experts across a wide spectrum
TRANSCENDENCE
n Helping our clients to move beyond the numbers and determine what role
they play in the investment process
n Help connect life goals with investment targets
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Magnitude & Direction
VECTORS REQUIRE BOTH A MAGNITUDE AND
A DIRECTION. THE INVESTMENT SOLUTIONS WE CREATE
FOR OUR CLIENTS REFLECT THE BROADEST SCOPE AND
CLEAREST PATH TO THEIR GOALS.
Portfolio Management, Investment Strategy
Senior Portfolio Management Director, David Sherrill is credentialed to create bespoke investment
portfolios for clients that are totally transparent.
Executive Financial Planning, Global Investment Perspectives, Estate Planning
Kamesh Nagarajan focuses on helping corporate executives with their overall wealth planning,
including integrating corporate benefits and concentrated stock planning, as well as working with
international citizens or residents who want to have a U.S.-based wealth management portfolio.
Fixed Income Strategies, Bond Asset Allocation Models, Credit Strategies
Michael Belsky’s approach to bond portfolio structure involves yield-curve positioning as well as
security selection.
Alternative Investments, Managed Futures, Investment Analysis,
Insurance Solutions, Impact Investing
Michael Pellman Rowland monitors and analyzes a number of asset classes - such as private equity
and venture capital funds, property investment funds and hedge funds which increasingly have components of sustainable and responsible investing (SRI).
Capital Markets, Access to Private Lending Solutions, Tax & Estate Planning
Strategies, Multigenerational Asset Allocation, Individual & Corporate
Retirement Planning
David Cote facilitates transactions that can raise capital for a company’s growth and expansion, or set
them up for a potential liquidation event or IPO.
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Our Advice
FINANCIAL ADVICE THAT GROWS WITH YOU
We pride ourselves on our ability to create strategies to help meet immediate needs while also investing for the
long term. It’s our job to adjust with the changing needs of our clients as they progress through different stages
in their financial lives.
This is true for individuals, families, and institutions.
WEALTH ACCUMULATION STAGE FOCUSES ON:
n Investment strategies
n Financial Planning
n Tax Efficiency
n Access to Lending Services
WEALTH TRANSITION STAGE FOCUSES ON:
n Business liquidation
n Retirement Plans
n Access to Investment Banking Services
n Intergenerational transfers
WEALTH DISTRIBUTION STAGE FOCUSES ON:
n Endowment management
n Planned giving strategies
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Our Practice
YOUR INVESTMENT PLAN
IT’S COMPREHENSIVE
Together, we begin by:
n Analyzing your financial situation, life goals and priorities
n Discussing your investment philosophy and expectations
n Considering life events that may impact your investment strategy
n Defining your tolerance for risk and your income requirements
IT’S UNIQUELY TAILORED
Next, we:
n Determine an appropriate blend of asset classes for your portfolio
n Position your portfolio for what we believe will be the highest
performance within your risk tolerance
n Consider the benefits of alternative investments
IT’S ADJUSTABLE
On an ongoing basis, we:
n Monitor the performance and
composition of your portfolio
n Provide you with comprehensive
performance reviews
n Adjust your portfolio to fit life
changes as they occur
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Our Process
AN INVESTMENT MANAGEMENT PROCESS
BASED ON OPEN ARCHITECTURE
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Executive Financial
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Global Investment
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Estate Planning
Strategies
Structured Products
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Our Credentials
We have strategically built a deep bench of complementary advisory
skills. Our professional investment credentials demonstrate a deep level
of knowledge as well as the ability to coordinate efforts among other
professionals. We have actively sought and achieved the following
advanced credentials:
CFA®
CHARTERED FINANCIAL ANALYST (M. David Sherrill)
CFP®
CERTIFIED FINANCIAL PLANNER™ (Michael Pellman Rowland)
allows us to analyze investment opportunities for portfolio construction
allows us to contextualize the portfolio for individual clients
CMT®
CHARTERED MARKET TECHNICIAN (M. David Sherrill)
allows us to makes tactical moves in the market based on technical analysis.
ADPA®
ACCREDITED DOMESTIC PARTNERSHIP ADVISOR (Michael Pellman Rowland)
allows us an in-depth understanding of the financial needs of domestic partners
FWA FAMILY WEALTH ADVISOR (Michael Belsky & Kamesh Nagarajan)
allows us to have conversations about money, values and planning with family members
ICA
INTERNATIONAL CLIENT ADVISOR (Kamesh Nagarajan)
allows us to address the specialized investment requirements of non-US resident clients.
Morgan Stanley has also designated us as Senior Portfolio Managers — designations that
are bestowed on a few select managers with the credentials and historical record of constructing portfolios
to help meet client needs.
OUR CLIENTS COUNT ON US TO GO ABOVE AND
BEYOND THEIR EXPECTATIONS TO ACCOMMODATE
THEIR NEEDS. THE DEPTH OF OUR TEAM MEANS THAT
OUR SERVICE IS SPECIFIC TO OUR CLIENT’S ISSUES.
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Building a Legacy
Our group understands that an inheritance has helped a significant share of high net worth investors achieve
their wealth. We help our clients address how they want their wealth handled well into the future. This may
include maximizing wealth transfer between generations; leaving a philanthropic legacy through a charitable
annuity, charitable trust or foundation; or working to ensure their heirs have the resources they need.
Our advice extends far beyond helping our clients and their families just manage financial assets. Many of our
clients want to make a difference in their community and in our world. Beyond money management, we act as
philanthropic advisors, working with our clients to prioritize their causes and create a philanthropic plan that
supports their goals.
Generational Wealth
The Vector Group is a multi-generational team of financial professionals who understand how to serve our
multi-generational client families. We know from experience that different generations have different approaches
to investing: some clients through shorter-term desires, others by lasting impact from investment.
Our long history of working with wealthy clients allows us to easily engage with and advise families about their
plans for transitioning generational wealth.
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Our Team:
MEET OUR TEAM
We are a team, which means we act in concert with each other, while drawing on our individual strengths and
knowledge assets. The result is a cohesive and coherent effort that really proves that the “whole” we offer to our
clients is greater than the sum of our parts.
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Financial Advisor
M. David Sherrill, CFA®, CMT®
Managing Director
Senior Portfolio Management Director
Financial Advisor
David Sherrill’s Wall Street career started in 1984 at a predecessor firm to Morgan Stanley
– Smith, Barney, Harris, Upham and Co., Inc. His work in the investment banking world
included structuring over $6 billion in complex financing for public entities in the airline
and resource recovery industries. Specific projects included portfolio protection strategies for
institutional investors during the infancy of this field.
FOCUS:
Portfolio Management
U.S. & International Equities
Capital Markets
Client Financial Context
In 1988, Mr. Sherrill joined Shearson Lehman Brothers (another predecessor firm) to
start a financial advisory business. Today his clientele includes individuals, family trusts,
charitable institutions, corporate entities and foundations. As one of the founding members
of The Vector Group at Morgan Stanley, his focus includes financial planning, portfolio
management, equity investing, risk assessment and alternative investments.
Mr. Sherrill is a CFA® Charterholder and has the designation of Chartered Market
Technician (CMT®). With these advanced credentials, he analyzes investment opportunities
for portfolio construction including strategic and tactical moves.
His education includes a B.S. of mathematics from the University of California, Berkeley.
His passions include his family, music, history, backgammon and wine. He is very active in
philanthropic pursuits including those aiding children in need, journalism and the arts. He
has served on several eleemosynary boards including the New York Society for the Prevention
of Cruelty to Children, the New England Historic Genealogic Society and the California Jazz
Conservancy.
David has been a guest speaker on “Bloomberg Rewind” and named to The Financial Times’
“Top 400 Financial Advisors” in 2013.
tel: (212) 893-7515
[email protected]
Technical analysis is the study of past price and volume trends of a security in an attempt to predict the security’s future price and
volume trends. Its limitations include but are not limited to: the lack of fundamental analysis of a security’s financial condition,
lack of analysis of macro economic trend forecasts, the bias of the technician’s view and the possibility that past participants were
not entirely rational in their past purchases or sales of the security being analyzed. Investors using technical analysis should consider
these limitations prior to making an investment decision.
Source: The Financial Times “Top 400 Financial Advisors,” April, 2013. Criteria are based, in part, upon data gathered
from and verified by Morgan Stanley as well as qualitative and quantitative criteria, including but not limited to, assets under
management, asset growth, compliance records, and experience. Morgan Stanley Financial Advisors were nominated by Morgan
Stanley. The rating may not be representative of any one client’s experience and is not indicative of the Financial Advisor’s future
performance. Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors pays a fee to The
Financial Times in exchange for the rating.
The investments listed may not be suitable for all investors. Morgan Stanley Smith Barney LLC recommends that investors independently evaluate particular investments, and encourages investors to seek the advice of a financial advisor. The appropriateness of
a particular investment will depend upon an investor’s individual circumstances and objectives.
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Financial Advisor
Kamesh Nagarajan
Financial Advisor
Senior Vice President – Wealth Management
Senior Portfolio Management Director
International Client Advisor (ICA)
Family Wealth Advisor
FOCUS:
Executive Financial Planning
Global Investment Perspective
Estate Planning Strategies
Structured Products
Kamesh Nagarajan is a Senior Vice President and Senior Portfolio Management Director at
Morgan Stanley with over 18 years of experience. He focuses on helping corporate executives
with their overall wealth planning, including integrating corporate benefits and concentrated
stock planning, and in advising physicians and entrepreneurs on holistic wealth management
issues. He is also an International Client Advisor, working with Indian citizens or residents
who want to have a US based wealth management portfolio.
Mr. Nagarajan has a Bachelor of Arts degree in Economics from Vassar College and a Juris
Doctorate with honors from Syracuse University College of Law. He is a national speaker
on various financial topics and has written many finance articles for various publications. In
addition, he has appeared on CNBC, Fox Business News, CBS and Forbes.com as an expert
on various financial topics. Mr. Nagarajan is the President of Ascend-NY and a Charter
Member of The Indus Entrepreneurs (TIE-NY). He is actively involved with Lend-A-Hand
India and the American India Foundation (AIF). Mr. Nagarajan is also active with The
Columbia Business School—Eugene Lang Entrepreneur Center as a sounding Board mentor
and a mentor in The Columbia Mentorship Program for Entrepreneurs (CMPE) since 2010.
In 1997, Mr. Nagarajan served as the Vice Chairman of the India Community Center of
Rochester. He also served on the Board of Directors of the Rochester Area Community
Foundation. In 2006, Mr. Nagarajan was a founding member of DIAL (Development of
Indo-American Leaders) and a previous Vice Chairman of the India Community Center of
Rochester. In 2010, Mr. Nagarajan was honored by Ascend at their national gala with their
High Impact Leaders Award for professional accomplishments and for positive impact and
contributions to the Asian American Community. At Morgan Stanley, Mr. Nagarajan is a
member of The Morgan Stanley President’s Club (2015) for top advisors at the firm. Kamesh
was also a panelist at the 2013 Barron’s Top Advisor Diversity Summit.
Kamesh resides in Manhattan with his wife Ami and their seven year old twins, Anya and
Prem.
tel: (212) 492-6750
[email protected]
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Financial Advisor
Michael J. Belsky
Senior Vice President
Senior Portfolio Management Director
Family Wealth Advisor
Financial Advisor
For the past 33 years, Michael Belsky has aimed to limit volatility for his clients in the
financial services industry. He has extensive experience in fixed income with a focus on bond
asset allocation models and credit strategies.
FOCUS:
Portfolio Management
Fixed Income
Research Coordination
Prior to joining Morgan Stanley in 2008, Mr. Belsky served as Associate Director with
Bear, Stearns & Co. Inc. and Senior Vice President at PNC Bank, which he joined in 1999.
Previously, he was a co-founder and senior partner at Atlantic Group Securities, where he
worked from 1984 to 1999, and was responsible for the firm’s government trading desk
as well as the structuring, funding and placement of debt issues throughout the United
States. Mr. Belsky helped structure proprietary trading products such as one of the country’s
first stripped bond programs as well as put features for local banks’ municipal portfolios.
Additionally, his responsibilities included management and development of bond portfolios
for the firm’s clients.
As a founding member of The Vector Group, Mr. Belsky’s clients rely on his experience in the
fixed income world to unearth value in debt securities. Mr. Belsky has developed a unique
approach to bond portfolio structure that involves target-duration as well as yield-curve
positioning and is often called to speak about management and income strategies.
Mr. Belsky received a B.S.B.A. from the University of Denver and actively mentors recent
graduates on various business skills. He has a passion for children’s causes and has
three adult children.
tel: (212) 893-7600
[email protected]
11
Financial Advisor
Michael Pellman Rowland, CFP®, ADPA®
Senior Vice President
Senior Portfolio Manager
Financial Advisor
FOCUS:
Socially Responsible Investing
Impact Investing
LGBT Clients
Alternative Investments
Insurance Solutions
Michael Pellman Rowland has been advising clients at Morgan Stanley for over 14 years.
His areas of focus include financial planning, portfolio management and investment analysis.
In addition to a great deal of experience in designing investment strategies, Michael has
spent time developing a process of education for the lay investor. His clients have benefited
from his ability to describe the many pros and cons of different investment approaches. His
clientele include individuals, LGBT clients, family trusts, millennials, and clients interested
in socially responsible investing. Michael often works closely with his clients’ accountants
and legal counsel to help provide in depth financial planning and advice.
Michael joined Morgan Stanley shortly after earning his economics degree from Hamilton
College. He holds the designations of CERTIFIED FINANCIAL PLANNERTM and
Accredited Domestic Partnership AdvisorSM. He loves traveling and enjoys snowboarding,
golf, hiking, and bird watching. In addition, he and his wife spend time in charitable
pursuits related to animal rights. Michael also serves as a board member of
Housing Works, Inc.
Michael is a frequent guest lecturer, and has been featured in The Wall Street Journal,
Financial Times, Conscious Magazine, and Institutional Investor. He was also selected as an
Honoree in the Investment News, class of 2015, “40 Under 40” list.
tel: (212) 705-4581
[email protected]
Source: Investment News, “40 Under 40”, December, 2015. The award is based upon a recipient’s application and not upon any
qualitative and quantitative criteria relating specifically to one’s position as a Financial Advisor. As such the award is not representative of any client’s experience nor is it indicative of the Financial Advisor’s future performance. The publication states that it
considers four factors in compiling its list: accomplishments to date, contributions to the industry, leadership, and promise. Neither
Morgan Stanley Smith Barney nor any of their Financial Advisors pay a fee to Investment News in exchange for the rating.
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Financial Advisor
David J. Cote
Vice President
Financial Advisor
FOCUS:
Investment Banking Liaison
Access to Lending Services
Retirement Plans
Corporate Services
David Cote joined Morgan Stanley in 2013, having worked in the financial services industry
since 2010. In this role he is responsible for providing investment and wealth planning
advice to individuals and families and their trusts, estates, foundations, endowments
and pension plans. Mr. Cote also has a focus working with entrepreneurs and owners
of privately held businesses to assist with planning for an exit (Strategic Buyer, Private
Equity Investment, IPO) and dealing with concentrated stock positions post exit. As a
Partner with The Vector Group at Morgan Stanley, he provides counsel to clients and their
professional advisors on a variety of matters, including tax and estate planning strategies,
multigenerational asset allocation, individual and corporate retirement planning, and the sale
of closely held businesses. For entrepreneurs and business owners, he is The Vector Group
lead for Morgan Stanley’s suite of stock plan services, 10b5-1 plans and Cash Management.
Prior to joining Morgan Stanley, Mr. Cote was a Vice President and Financial Advisor
with Bernstein Global Wealth Management, which he joined in 2010. Previously, he was a
global sales executive for several firms that provided strategy and technology solutions to the
financial services industry.
Mr. Cote has vast experience in entrepreneurship and the sale of closely held businesses and
he is a frequent guest lecturer at NYU and FIT on both of these topics. In 2012, he founded
the Big Apple Entrepreneur Network which is a 700+ member group comprised of some of
NYC’s top entrepreneurs and related professionals. He is also the founder of Champagne &
Song, an annual holiday fundraising event for the financial services industry to raise money
for educational charities. Mr. Cote is a member of the Board of Directors for Empowered by
You, a privately held fashion company that raises funds for women’s microfinance through
the sale of apparel.
He received a Bachelor of Arts from Dartmouth College and was awarded a citation for
academic excellence. Mr. Cote is an avid marathon runner and is a member of several annual
charity events for education and cancer research that have raised over $1 million to date.
tel: (212) 893-7566
[email protected]
13
Financial Advisor Associate
Elizabeth A. Morgan
Financial Advisor
Elizabeth Morgan joined The Vector Group in July of 2015. Her primary responsibilities
include assisting the team with financial planning, portfolio management, and new
business development.
Elizabeth began working in wealth management in July of 2014 as a Wealth Advisory
Associate (WAA). Prior to her transition into wealth management, Elizabeth worked as a
due diligence analyst in Morgan Stanley’s Global Corporate Security Division, in which role
she conducted comprehensive research and thorough investigations on corporate clients and
potential partner companies.
Elizabeth received her Bachelor of Arts degree from Wellesley College in May of 2013. She
completed her coursework a semester early in December of 2012 and joined Morgan Stanley
in February of 2013. While at Wellesley, Elizabeth was a member of the varsity soccer team,
the club sailing team, and the Residential Life Staff.
Elizabeth resides on the Upper East Side of Manhattan and enjoys spending time with her
family at their home in Shelter Island, NY. She is an active member of the Bronx Science
Alumni Association and the New York Wellesley Club.
tel: (212) 468-4547
[email protected]
Financial Advisor Associate
Daniel Sheldon
Financial Advisor
Daniel joined Morgan Stanley in 2015 after graduating Cum Laude from Marist College
receiving a Bachelor of Science in Business Administration with concentrations in both
Finance and International Business, as well as a Bachelor of Arts in Economics. His primary
responsibilities with The Vector Group at Morgan Stanley include trade execution, market
research, and portfolio analysis.
During his tenure at Marist College, Daniel played Division 1 baseball while also
participating in the school’s Investment Practicum program, actively managing a portion
of the institution’s endowment. He was elected as President and Lead Economist of the
school’s Equity Fund as a junior and transitioned into the same roles of the college’s Fixed
Income Fund the following year. Additionally, he was elected President of Marist College’s
Investment Club, a title he held throughout his senior semesters.
tel: (212) 492-6934
[email protected]
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Financial Advisor Associate
Ashi Shah
Financial Advisor
Ashi joined Morgan Stanley in 2014 as a Financial Advisor. She provides a holistic approach
to financial planning; focusing on wealth accumulation, wealth preservation, and transferring
assets to future generations. Ashi works with a team of highly experienced individuals to
come up with tailored solutions for clients in estate planning strategies, stock option analysis,
monetization of concentrated stock positions, life insurance analysis, mortgage & home
equity lending solutions, and asset protection with a specific emphasis on lifetime retirement
income stream.
Ashi started out her career in Wealth Management as a Banking Analyst with J.P. Morgan’s
Private Bank where she helped devise customized financial strategies for existing and
prospective clients, ran proprietary models, conducted research and analysis, and assisted
with meeting client needs to deliver integrated financial solutions. Thereafter, she moved into
a Financial Advisory role at Merrill Lynch working with a wealth management team based
out of Austin, Texas. Ashi has been in Wealth Management for over 8 years.
Ashi received her Bachelor of Arts degree in Finance and Economics from Westminster
College. She holds her Series 7 and 66 from the Financial Industry Regulatory Authority
(FINRA).
Ashi is a member of Texas Wall Street Women (TXWSW), The Indus Entrepreneurs (TiE),
and is actively involved with Junior Achievement of New York. Ashi resides in Midtown
Manhattan and enjoys traveling, art, and skiing in her hometown of Salt Lake City, Utah.
tel: (212) 492-6370
[email protected]
15
Financial Advisor Associate
Stewart P. Miller
Financial Advisor
Stewart Miller joined Morgan Stanley in 2015, having worked in finance since 2012. He
works with investors on customizing and managing their portfolios, planning their financial
futures, and strategizing the passing of assets between generations. He provides advice on
retirement solutions and budgeting for primary and secondary education. In conjunction
with The Vector Group at Morgan Stanley, he also provides access to lending services
through Morgan Stanley’s private banking group.
Prior to joining Morgan Stanley, Mr. Miller managed his own portfolio for several years.
His work involved combining technical and fundamental analysis to develop profitable
trading strategies.
Before finance, Mr. Miller worked in a frontline role at a leading National news channel. His
responsibilities involved making daily decisions around the current events desk. When news
broke, he coordinated all desks from the technical side right up to the front of camera. He
finished each day by conducting meetings and briefing the following news team on the day’s
events, footage, and facts.
Mr. Miller graduated High School from the Columbus Academy in Ohio after having spent
one year concentrating on the arts while at the Professional Children’s School in New York.
Following high school, he spent 2 years in Switzerland at the international boarding school
Lyceum Alpinum Zuoz. For college, he graduated with the class of 2005 from Wesleyan
University in Connecticut with a BA in Theater. He holds Series 7, 56, and 66 licenses, as
well as a real estate salesperson license.
He enjoys theater arts, automobiles, classic literature, foreign political history, and extensive
travel. He has also been a Volunteer Firefighter since graduating from college in 2005.
tel: (212) 893-7522
[email protected]
16
Financial Advisor Associate
Deborah R. Schwartz
Financial Advisor
Debbie Schwartz joined The Vector Group at Morgan Stanley in 2015, having started her
career in the financial services industry in 2000. After receiving her MBA, Debbie began
her Wall Street career as an investment banker with Merrill Lynch where she advised
corporations and private equity firms on IPOs, mergers and acquisitions, and other complex
financing transactions. She spent over seven years in investment banking roles as a Vice
President at Merrill Lynch, a Senior Vice President at HSBC Securities (USA) and a Director
at Credit Suisse.
Debbie has significant experience helping senior executives during formative corporatelife events. Having worked as a lead underwriter on IPOs, she has advised boards and
executives on the process of setting the price for their company stock, has led them through
the roadshow process and assisted in navigating the complexities of public company
requirements.
Debbie also has extensive experience working with smaller, private businesses and their
founders, helping them raise capital from outside investors and navigate strategic options for
their businesses. She has created business and financial plans for a wide range of early stage
companies in the consumer, retail and e-commerce industries.
Prior to obtaining her MBA, Debbie practiced law as an attorney in New York. She was an
associate in the corporate and litigation departments at Clifford Chance Rogers & Wells and
a senior associate in the corporate department of Battle Fowler LLP.
Debbie received a B.A. in economics from Barnard College, a J.D. from NYU Law School
and an M.B.A in finance from Columbia Business School where she was on the Dean’s
Honor List and was elected to the Beta Gamma Sigma Honor Society. In her free time,
Debbie enjoys being active, practicing yoga, hiking, biking and skiing. She is also passionate
about education, volunteers at P.S. 3 in Manhattan, and served on the Board of Trustees of
the Democracy Prep Public Schools, a New York based network of charter schools.
tel: (212) 692-2394
[email protected]
17
Support Staff
Lindsey A. Paesano
Business Development Associate
Financial Planning Associate
Lindsey Paesano joined Morgan Stanley in 2011, having worked in the financial services
industry since 2009 and now functions as The Vector Group’s Business Development
Associate. Her responsibilities include developing strategies to further enhance client
relationships and implementing new policies to help the team gain exposure and expand
business capabilities. She participates in the team’s overall marketing strategies, and manages
the team’s client communication efforts. Lindsey is also responsible for maintaining the
team’s website and social media presence.
Instrumental in the daily operations and management of The Vector Group, the directorial
duties of Lindsey include developing and executing business plans, relationship
management, strengthening firm relationships, and newsletter implementation.
Prior to joining The Vector Group, Lindsey helped run a nine member wealth
management team at Morgan Stanley. She worked collaboratively with the team’s financial
advisors to provide the highest quality of individualized service to key clients. Her
responsibilities included managing trading platforms across a broad range of securities
products, market research, portfolio analysis, and asset allocation.
Lindsey holds a B.S. degree in Business Administration with a major in Marketing from
the Smeal College of Business at The Pennsylvania State University—class of 2008. She is
registered with FINRA and SEC with Series 7 and 66 registrations.
tel: (212) 705-4572
[email protected]
18
Support Staff
Giselle “Gigi” B. Cantada
Group Director
Gigi is the Group Director with The Vector Group at Morgan Stanley. Her primary focus
is on providing first-class client service and strategic operational and administrative support
to the group’s clients. She is the first point of contact for many client questions, and on a
daily basis she opens and monitors new and managed accounts, handles administrative and
operational matters, and executes buy and sell orders.
Gigi began as a compliance analyst with Marisco Fidelity in 1995. After five years, she
moved to the institutional trading desk of Knight Capital Markets, where she provided
settlement and liaison support for large fund companies. Gigi began working with David
Sherrill in 2005 and became a key member of The Vector Group when it was established in
March, 2010.
Gigi is married and is the mother of four children. She lives in Bridgewater, NJ.
tel: (212) 893–7516
[email protected]
Support Staff
Jenna Trolson
Senior Registered Associate
Jenna Trolson is a Senior Registered Associate with The Vector Group at Morgan Stanley.
Her primary responsibilities include providing support to clients including opening new
accounts, handling disbursement requests, as well as trade executions. She enjoys getting to
know clients and helping them reach their goals.
Jenna received a Bachelor of Arts with a major in English Literature from the University
of California in Irvine. She is a native of Santa Barbara, California but loves all the
opportunities New York City has to offer. In her free time she can usually be found exploring
one of the city’s many art museums or enjoying a performance of the New York City Ballet.
She began working at Morgan Stanley in 2005 and is Series 7 and 66 Registered.
tel: (212) 705-4597
[email protected]
19
Support Staff
Spencer Gabriel
Client Service Associate
Spencer Gabriel joined Morgan Stanley in 2014 as a Client Service Associate. His mission is
to serve as an internal advocate for clients to ensure their needs are being met.
Spencer has earned a reputation for working effectively with Financial Advisors, Portfolio
Managers, Operations, Legal/Compliance and Senior Management in the context of meeting
client needs. Spencer’s specialty is working with other members of client service and sales
groups to leverage resources and enhance the quality of client service delivery. Prior to joining
Morgan Stanley, Spencer worked as a Logistics Coordinator and worked closely with core
client bases to assess needs and ensure accurate management.
Spencer has a B.S. in Communication Studies with a minor in Business Administration
from Towson University. He also holds a Grand Diploma in Culinary Arts from the French
Culinary Institute.
Spencer currently resides in Manhattan with his puggle, Roscoe. He plays an active role and
contributes to his neighborhood through animal welfare service. Away from the business, he
enjoys cooking, football and reading.
tel: (212) 492-6371
[email protected]
Support Staff
Evan Murphy
Client Service Associate
Evan Murphy joined Morgan Stanley as a Client Service Associate in 2015.
Prior to working at Morgan Stanley, Evan worked as an analyst at an asset management and
advisory firm based in White Plains, New York. Formed to advise sophisticated investors
and insurance professionals on various life insurance based investment opportunities, Evan
excelled in client relations and streamlined the onboarding process for enhanced customer
experience.
Evan has a B.S. in English with a minor in Communication from Fairfield University where
she was also a member of their Division I Women’s Soccer team.
Evan currently resides in New York and enjoys spending time with friends and family and
participating in recreational sports.
tel: (212) 492-6968
[email protected]
20
THE VECTOR GROUP at MORGAN STANLEY
1290 Avenue of Americas, 12th Floor
New York, NY 10104
tel: (212) 893-7516
toll-free: (800) 827-1512
fax: (212) 705-4513
www.vectorgroupfinancial.com
DISCLOSURES:
The investments listed may not be suitable for all investors. Morgan Stanley Smith Barney LLC recommends that investors independently
evaluate particular investments, and encourages investors to seek the advice of a financial advisor. The appropriateness of a particular investment
will depend upon an investor’s individual circumstances and objectives.
An investment in alternative investments can be highly illiquid, is speculative and not suitable for all investors. Investing in alternative
investments is only intended for experienced and sophisticated investors who are willing to bear the high economic risks associated with such an
investment. Investors should carefully review and consider potential risks before investing. Some of these risks may include:
· loss of all or a substantial portion of the investment due to leveraging, short-selling, or other speculative practices;
· lack of liquidity in that there may be no secondary market for the fund and none is expected to develop;
· volatility of returns;
· restrictions on transferring interests;
· potential lack of diversification and resulting higher risk due to concentration of trading authority when a single advisor is utilized;
· absence of information regarding valuations and pricing;
· complex tax structures and delays in tax reporting;
· less regulation and higher fees than mutual funds; and
· manager risk.
Individual funds will have specific risks related to their investment programs that will vary from fund to fund.
Actual results may vary and past performance is no guarantee of future results.
Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors or Private Wealth Advisors do not
provide tax or legal advice. Clients should consult their tax advisor for matters involving taxation and tax planning and their attorney for matters
involving trust and estate planning and other legal matters.
Morgan Stanley Smith Barney LLC offers insurance products in conjunction with its licensed insurance agency affiliates.
Source: The Financial Times “Top 400 Financial Advisors” is an independent listing produced by the Financial Times (March, 2014). The FT
400 is based in large part on data gathered from and verified by broker-dealer home offices, and, as identified by the FT, reflected each advisor’s
performance in six primary areas, including assets under management, asset growth, compliance record, experience, credentials and accessibility.
The rating may not be representative of any one client’s experience and is not indicative of the Financial Advisor’s future performance.
Neither Morgan Stanley Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors pays a fee to The Financial Times in exchange
for the rating.
Residential mortgage loans/home equity lines of credit are offered by Morgan Stanley Private Bank, National Association, an affiliate of Morgan
Stanley Smith Barney LLC. With the exception of the pledged-asset feature, an investment relationship with Morgan Stanley Smith Barney LLC
does not have to be established or maintained to obtain the residential mortgage products offered by Morgan Stanley Private Bank, National
Association. All residential mortgage loans/home equity lines of credit are subject to the underwriting standards and independent approval of
Morgan Stanley Private Bank, National Association. Rates, terms, and programs are subject to change without notice. Residential mortgage
loans/home equity lines of credit may not be available in all states; not available in Guam, Puerto Rico and the U.S. Virgin Islands. Other
restrictions may apply. The information contained herein should not be construed as a commitment to lend. Morgan Stanley Private Bank,
National Association is an Equal Housing Lender and Member FDIC that is primarily regulated by the Office of the Comptroller of the Currency. Nationwide Mortgage Licensing System Unique Identifier #663185. The proceeds from a residential mortgage loan (including draws and
advances from a home equity line of credit) are not permitted to be used to purchase, trade or carry eligible margin stock; repay margin debt that
was used to purchase, trade or carry margin stock; or to make payments on any amounts owed under the note, loan agreement, or loan security
agreement; and cannot be deposited into a Morgan Stanley Smith Barney LLC or other brokerage account.
Morgan Stanley Smith Barney LLC is a registered Broker/Dealer, Member SIPC, and not a bank. Where appropriate, Morgan Stanley Smith
Barney LLC has entered into arrangements with banks and other third parties to assist in offering certain banking related products and services.
Investment, insurance and annuity products offered through Morgan Stanley Smith Barney LLC are: NOT FDIC INSURED | MAY LOSE
VALUE | NOT BANK GUARANTEED | NOT A BANK DEPOSIT | NOT INSURED BY ANY FEDERAL GOVERNMENT AGENCY
Morgan Stanley Smith Barney LLC. Member SIPC.
THE VECTOR GROUP at MORGAN STANLEY
1290 Avenue of Americas, 12th Floor
New York, NY 10104
www.vectorgroupfinancial.com