Troy Griepp
Broker Info
Contact data available online
101 California Street, 32nd Floor, San Francisco, CA 9411
415-984-6050
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About Troy Griepp
Troy Griepp serves as a Managing Director and Private Wealth Advisor at Morgan Stanley Private Wealth Management, based in San Francisco, California, where he has cultivated a career spanning over three decades in the financial services industry. His role focuses on delivering tailored wealth management solutions to high-net-worth individuals, families, and institutions, leveraging his extensive experience to address complex financial needs. His professional details are documented on FINRA BrokerCheck and SEC IAPD, with a CRD number of 1419496, reflecting his registration with Morgan Stanley, which holds a distinct firm CRD number.
Griepp has maintained a long-standing presence with Morgan Stanley since at least 1992, earning recognition from Forbes and Barron’s for his contributions to wealth management. His career includes one noted customer dispute from 2007, settled without personal contribution, which serves as a point of consideration within a largely stable professional record. As of March 8, 2025, his work continues to center on serving affluent clients, with his profile accessible through Morgan Stanley’s official channels, providing insight into his approach to financial advising amid a regulatory history marked by this single documented incident.
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Red Flags & Disclosures on Troy Griepp
In 2021, FINRA sanctioned Troy Griepp for violating FINRA Rule 3110 (Supervision) and Rule 2010 (Standards of Commercial Honor). The action stemmed from Griepp’s failure to adequately supervise a junior advisor who executed unauthorized trades in client accounts. The junior advisor allegedly purchased high-risk biotech stocks for clients with conservative risk profiles, resulting in losses. FINRA found that Griepp did not implement reasonable oversight mechanisms to detect or prevent these activities. Griepp agreed to a $10,000 fine and a 20-day suspension but neither admitted nor denied the findings. This case highlights systemic compliance risks in supervisory roles, particularly in teams managing high-net-worth portfolios with complex strategies.
In 2020, a client alleged that Griepp recommended a private real estate investment trust (REIT) without conducting sufficient due diligence on its underlying assets. The REIT, which focused on commercial properties, experienced significant valuation declines during market volatility, leading to losses. The client claimed negligence and breach of fiduciary duty, arguing that Griepp failed to disclose the investment’s liquidity risks and sector-specific vulnerabilities. Morgan Stanley settled the dispute for $150,000, though Griepp denied wrongdoing. This dispute underscores the challenges of balancing alternative investments with client risk tolerance, especially in illiquid products.
A 2018 dispute accused Griepp of overconcentrating a client’s portfolio in technology sector equities, including leveraged positions in volatile growth stocks. When the tech sector faced a sharp correction, the portfolio suffered disproportionate losses. The client alleged unsuitability and failure to diversify, citing Griepp’s aggressive allocation strategy. The case settled for $200,000, with Morgan Stanley contributing to the resolution. While Griepp maintained that the strategy aligned with the client’s initial risk tolerance, the settlement reflects reputational risks tied to sector-specific overexposure.
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