Title: Understanding the Kansas Service Agreement between Morgan Stanley Dean Witter Advisors, Inc. and Morgan Stanley Dean Witter Services Company Introduction: In Kansas, the service agreement between Morgan Stanley Dean Witter Advisors, Inc. (MSW Advisors) and Morgan Stanley Dean Witter Services Company (MSW Services) plays a crucial role in defining the terms, conditions, and obligations governing their business relationship. This comprehensive guide provides a detailed description of the Kansas Service Agreement, emphasizing its significance and key clauses. 1. Overview of the Kansas Service Agreement: The Kansas Service Agreement represents a legal document that outlines the provisions regarding the services provided by MSW Advisors, a registered investment advisor, to clients through the support of MSW Services, a registered broker-dealer. The agreement establishes the working relationship between these entities, ensuring transparency, compliance, and efficient operations. 2. Purpose and Objectives: The Kansas Service Agreement between MSW Advisors and MSW Services aims to establish a cooperative framework for offering client services within the state. By setting clear goals, rights, and responsibilities, this agreement ensures a cohesive and efficient approach to wealth management, financial planning, and other related services. 3. Scope of Services: The service agreement encompasses a wide range of offerings, including but not limited to financial consulting, investment management, retirement planning, estate planning, tax advisory, and asset allocation strategies. This ensures that clients receive comprehensive and personalized financial solutions tailored to their unique needs and goals. 4. Fee Structure and Compensation: The Kansas Service Agreement delineates the fee structure, compensation, and billing methods involved in the provision of services. This section clarifies the charges associated with the services rendered, such as advisory fees, trading fees, custody fees, and other applicable expenses, ensuring transparency and aligning the interests of the parties involved. 5. Client Responsibilities: The agreement outlines the obligations and responsibilities of the clients during the contractual period. These may include timely provision of accurate information, cooperation, adherence to investment and risk management strategies, and communication procedures. Client responsibilities facilitate a collaborative approach towards achieving financial objectives. 6. Compliance and Regulatory Framework: Kansas Service Agreements adhere to federal and state securities laws, regulations, and industry best practices. The agreement ensures full compliance with the Securities and Exchange Commission (SEC) rules, Financial Industry Regulatory Authority (FINRA) requirements, and Kansas-based regulatory bodies, safeguarding the interests of clients and maintaining ethical standards. 7. Additional Types of Kansas Service Agreements: While the specifics of each agreement may differ, the main types of Kansas Service Agreements between MSW Advisors and MSW Services may include Individual Service Agreements, Corporate Service Agreements, Trust Service Agreements, and Organizational Retirement Service Agreements. Each agreement type is tailored to address the specific needs of different client categories. Conclusion: The Kansas Service Agreement between Morgan Stanley Dean Witter Advisors, Inc. and Morgan Stanley Dean Witter Services Company ensures clarity, transparency, and regulatory compliance in delivering financial services to clients. Through this comprehensive agreement, clients can have confidence in the professional management of their assets, while the parties involved maintain a robust business relationship based on mutual trust and shared objectives.
Kansas Service Agreement between Morgan Stanley Dean Witter Advisors, Inc. and Morgan Stanley Dean Witter Services Company
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Examples of Industry Coverage Groups: Real Estate. Healthcare. Technology, Media & Telecom (TMT) Financial Sponsors Group (FSG) Financial Institutions Group (FIG) Technology. Public Finance. Industrials.
In addition to the acquisition of Dean Witter, Sears also acquired Coldwell Banker, the real estate brokerage company in 1981. Sears intended for Dean Witter to form the foundation for a larger Sears Financial Services Network that would be available to customers through the company's retail stores.
(''Dean Witter Discover'') and Morgan Stanley Group Inc. (''Morgan Stanley'') and was formed pursuant to a merger of equals that was effected on (the ''Merger''). MSDW was originally incorporated under the laws of the State of Delaware in 1981, and its predecessor companies date back to 1924.
The ultimate parent undertaking and controlling entity of the Company is Morgan Stanley, which together with the Group and Morgan Stanley's other subsidiary undertakings, forms the ?Morgan Stanley Group?.
Purcell was named chairman and chief executive of what became Morgan Stanley, Dean Witter, Discover & Company, later shortened to Morgan Stanley in March 2001. Mack stayed on as president until 2001.
Following Witter's death in 1969, and the retirement of Guy Witter the following year, Jean Witter's son, William M. Witter, became CEO of Dean Witter & Co.
Dean Witter's net worth as of Aug. 31 was $103.4 million, and Reynolds' net worth on June 30 was $62.8 million. Witter has 146 brokerage offices with 2,200 account executives in 39 states and Reynolds has 84 U.S. offices with 1,350 account executives.