Leslie Elizabeth Smith

CRD 1057025 · Morgan Stanley · Morristown, NJ

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 65Series 63SIESeries 31Series 7
Registered states (53): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 44
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Morgan Stanley
Firm CRD: 149777
SEC number: 801-70103
Assets under management: $2.0T as of Jun 30, 2026
Website: www.morganstanley.com ↗
Phone: 914-225-5510
Firm location: Purchase, NY, 10577-2530

Employment history (9)

From the source registration record · current first

Morgan StanleyCurrent
Morristown, NJ · IA capacity

Jun 1, 2009 → present
Citigroup Global Markets Inc.
BD capacity

Jan 25, 2007 → Jun 1, 2009
Citigroup Global Markets Inc.
IA capacity

Jan 25, 2007 → Jun 1, 2009
Morgan Stanley
IA capacity

Feb 27, 2006 → Jan 10, 2007
Morgan Stanley Dw Inc.
BD capacity

Oct 21, 2005 → Jan 10, 2007
Charles Schwab & Co., Inc.
BD capacity

Feb 13, 1992 → Sep 4, 1992
Charles Schwab & Co., Inc.
BD capacity

Apr 30, 1985 → Jun 20, 1990
Suncan Equity Services Company
BD capacity

Feb 9, 1984 → May 14, 1985
Ryan, Beck & Co.
BD capacity

Oct 20, 1982 → Feb 25, 1984

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 1057025 ↗ FINRA BrokerCheck record for CRD 1057025 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.