The J Team at Morgan Stanley Integrity, Professionalism and Trust Morgan Stanley Smith Barney LLC. Member SIPC
THE J Team at MORGAN STANLEY Within, you will find a our mission and vision statements. You will also have an opportunity to see our processes, analyses, structure, and many of our organizational capabilities. We look forward to your questions and the opportunity to speak with you. Justin H. Parkhurst, Helen Cheng, Jim J. Galindo, Amit Patel JUSTIN H. PARKHURST Jim J. Galindo Amit Patel Financial Advisor Financial Advisor Financial Advisor Vice President First Vice President 650.496.3992 Investment Management Consultant Financial Planning Specialist 650.496.4249 650.496.3915 Helen Cheng Senior Registered Associate 650.496.3920 Morgan Stanley Smith Barney LLC. Member SIPC.
Our mission is to strive with the utmost integrity, to deliver the highest level of professional service to our clients, those individuals who have entrusted us with their financial future. OUR MISSION We believe that helping clients achieve their financial goals begins with completely understanding their needs. Only then can we provide the comprehensive guidance that seeks to answer their most fundamental question: Can I attain my goals? In addressing these questions, we take a comprehensive approach to helping clients grow and manage their wealth, which means that we focus on all aspects of their financial lives, not just parts of it. OUR VISION We believe that our clients deserve a financial advisor who shares their vision, earns their trust, and works diligently to uncover a myriad of possible solutions that help them address their aspirations and create a legacy for future generations. This client-centered, planning based approach aims to provide a rational foundation for investment strategies, and seeks to ensure that investment decisions are grounded in the client s best interest. This approach has enabled us to build meaningful, long lasting relationships with our clients and their families. When this is accomplished, we are then positioned to provide the leadership you need for a prudent financial journey.
With over 17 years of industry experience, Jim believes a client s trust and confidence results from dedicated, responsive and professional teamwork. Jim s clients include high net worth individuals and families, closely held businesses and not-for-profit entities. Assisting his clients in investment policy formulation, outlining strategic and tactical allocations and overseeing execution to plan, is Jim s number one goal in seeing his clients succeed. Jim J. Galindo Financial Advisor First Vice President Wealth Management Financial Planning Specialist As a graduate of San Jose State University with a BS in Business/Finance, Jim is committed to the pursuit of continued study. He has earned the designation of Financial Planning Specialist after completing extensive coursework, passing a rigorous exam and fulfilling significant annual continuing education requirements. Originally from Texas, Jim has lived in the Bay Area since 1988. He and his wife, Andrea, reside in Hollister with their two children. Jim has been involved with a variety of charitable events, passionately donating his time and giving back to those in need. In addition to spending quality time with his family, he enjoys outdoor activities including, water sports, and exploring California coastal beaches.
Recruited to Morgan Stanley in 2006, Justin enjoys working with clients on sophisticated issues ranging from financial planning to complex asset allocation models and strategic portfolio investments. The breadth of Justin s responsibilities include asset allocation analyses, investment policy development, proactive strategic discussion and, as with all team members, client contact and superior client service. Prior to joining Morgan Stanley Justin gained extensive management and lending experience while working in the retail and wholesale mortgage industry. He has a unique combination of professional experience and training in business operations, cash flow management, and liabilities management. As a graduate of the University of California, Berkeley with a B.A. in Philosophy and an M.A. in Education Administration, Justin is committed to the pursuit of continued research and overall knowledge both personally and professionally. This passion for information gathering assists the group in investment strategies, market research, and the process of choosing quality portfolio managers. Originally from Idaho, Justin resides in Menlo Park, CA with his most valuable assets; his wife Gillian, and their two daughters Mia and Zoë. Justin H. Parkhurst Financial Advisor Vice President Investment Management Consultant Financial Planning Specialist
Amit has 10 years of experience focused on delivering solutions for all of his clients financial goals. Amit s extensive banking and investment background allow him to analyze and help create plans that address all parts of his clients financial picture, not just the investable assets. Amit provides all of his clients with superior service and advice that gives clients the knowledge, planning, and confidence they need to help achieve all of their financial goals. Amit primarily works with clients in the hi-tech and bio-tech industries and specializes in clients with concentrated and restricted securities positions. Amit Patel Financial Advisor Amit earned a B.S. from Santa Clara University in Political Science. He is passionate about understanding the effect government policies have on the markets and how best to use that understanding to improve results for clients. Amit is a member of the Value Investing Congress and the Santa Clara University Alumni Association. In his spare time Amit is an avid practitioner and instructor of the Israeli fighting system Krav Maga, in which he has earned his black belt. He is confident that he can help teach any client how to protect themselves and their families from any threat be it physical or fiscal. Amit also enjoys spending quality time with his wife Tracy and children Dilan and Ayanna, reading anything he can get his hands on, and snowboarding.
CLIENT MANAGEMENT PROCESS Discovery Meeting Completion of Discovery Process Investment & Planning Meeting Presentation of Investment Strategy Mutual Commitment Meeting Confirmation of Commitment & Implementation of Strategy Follow-up Meeting First Meeting to Review Account Documents Regular Process Meeting Review of Progress & Implementation of Wealth Management Plan
WEALTH MANAGEMENT CONSULTING PROCESS Discovery Meeting Completion of Discovery Process Investment & Planning Meeting Presentation of Investment Strategy Mutual Commitment Meeting Confirmation of Commitment & Implementation of Strategy Follow-up Meeting First Meeting to Review Account Documents Regular Process Meeting Review of Progress & Implementation of Wealth Management Plan Investment Plan Review of current situation, recommendations, and investment strategy advice Wealth Management Plan Comprehensive evaluation of our client s financial needs with recommendations for moving forward Wealth Management Network Team experts with high knowledge and skill in key financial areas Wealth Management Network Meeting Team of specialists applies expertise to evaluate all aspects of our client s financial situation with recommended solutions
Doug Kentfield Managing Director Global Wealth Management New York Michael Struckman Executive Vice President Regional Director San Francisco Cira Nickerson Senior Vice President Complex Manager Palo Alto Jim J. Galindo Financial Advisor First Vice President Financial Planning Specialist Guided Portfolio Manager Amit Patel Financial Advisor Justin H. Parkhurst Financial Advisor Vice President Investment Management Consultant Financial Planning Specialist WEALTH MANAGEMENT AT YOUR SERVICE EQUITY STRATEGY Tobias Levkovich Managing Director New York FIXED INCOME STRATEGY George Friedlander Managing Director New York MUNICIPAL BOND STRATEGY Brett Barnes Los Angeles ALTERNATIVE INVESTMENT STRATEGY Dan McCulloch Regional Director New York CORPORATE RETIREMENT 401k SPECIALIST CONSULTING GROUP Patrick Schussman First Vice President San Francisco ESTATE PLANNING SPECIALIST Rachel Kanter Vice President San Francisco MSSB TRUST SPECIALIST Robert Seifert Vice President Los Angeles LENDING SERVICES Matt Hawley San Francisco INSURANCE SERVICES Larry Keefer San Francisco PRIVATE BANK SERVICES Greg Frey Vice President San Francisco EXECUTIVE FINANCIAL SERVICES Aegis Frumento New York
We measure our success by the strength and longevity of our client relationships as we continuously strive to provide our clients with a high level of service. The following principles form the foundation of our practice in which we adhere: You and your family are a priority. We seek to address your concerns promptly, accurately and completely. Our goal to you is superior client service. WHAT YOU CAN EXPECT FROM US We endeavor to fully understand your financial needs, long-term goals and lifestyle aspirations by actively listening to you. An in-depth understanding will help us to prudently implement tailored investment and wealth management strategies. Your knowledge of your investment choices is critical to the long-term success of our relationship. Therefore, we will spend ample time to educate you to help you make well-informed decisions. We encourage asking questions if you are uncertain about any financial matter. We intend to meet with you regularly, at your convenience, to review your portfolio to ensure that it continues to be aligned with your short and longterm goals, which could change over time. We can also explore new potential investment opportunities and wealth management strategies. Your candid feedback is actively requested. Our open communication can help us to meet your expectations. Earning our clients trust is the embodiment of our practice, day in and day out. We understand the importance of every action or every piece of advice.
HONORED BY REFERRALS A client who refers their parents, children, co-worker or friend signifies the highest compliment for our services. As professionals, we consider the honor of a referral the most significant of rewards. We are always there with heightened responsibility and compassionate professional understanding. If you should know of anyone who might benefit from our services or have questions about life planning, please have them call us. We will be pleased to answer any of their questions and are honored by your referral.
Life, Long-Term Care and Disability insurance products are offered through Morgan Stanley s licensed insurance agency affiliates. Morgan Stanley offers a wide array of brokerage and advisory services to its clients, each of which may create a different type of relationship with different obligations to you. Please consult with your Financial Advisor to understand these differences. Important information about your relationship with your Financial Advisor and Morgan Stanley when using a Financial Planning tool. When your Financial Advisor prepares a Financial Plan, they will be acting in an investment advisory capacity with respect to the preparation of your Financial Plan. To understand the differences between brokerage and advisory relationships, you should consult your Financial Advisor. You have sole responsibility for making all investment decisions with respect to the implementation of a Financial Plan. You may implement the Financial Plan at MSSB or at another firm. If you engage or have engaged MSSB, it will act as your broker, unless you ask it, in writing, to act as your investment adviser on any particular account. DISCLAIMER Morgan Stanley Smith Barney LLC ( Morgan Stanley ) is a registered broker-dealer, not a bank. Where appropriate, Morgan Stanley has entered into arrangements with licensed banks and other third parties to assist in offering such banking-related services. Unless otherwise specifically disclosed to you in writing, investments and services are offered through Morgan Stanley Smith Barney LLC, member SIPC, and such investments and services are not insured by the FDIC, are not deposits or other obligations of, or guaranteed by, the Banks and involve investment risks, including possible loss of principal amount invested Morgan Stanley Smith Barney LLC, its affiliates, and Morgan Stanley Financial Advisors and employees are not in the business of providing tax and legal advice, and these materials and any statements contained herein should not be construed as tax or legal advice. Individuals are urged to consult their personal tax advisor or attorney for matters involving taxation and tax planning and their personal attorney for matters involving trust and estate planning and other legal matters. Morgan Stanley Smith Barney LLC. Member SIPC. CRC# 819656