David E. Smith

CRD 1148634 · Morgan Stanley · Raleigh, NC

IA RegisteredBroker

Also appears in the source record as: David Eugene Smith Jr; David E. Smith Jr. Jr; David Eugene Smith Jr. Jr

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): Series 63SIESeries 31Series 7
Registered states (34): Alabama · Arizona · California · Colorado · Connecticut · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Louisiana · Maine · Maryland · Massachusetts · Michigan · Mississippi · Missouri · Montana · Nevada · New Jersey · New York · North Carolina · Ohio · Oklahoma · Oregon · Pennsylvania · South Carolina · Tennessee · Texas · Virginia · Washington · West Virginia · Wisconsin
Years in the industry (source record): 43
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 1148634 contains one or more disclosure events as of Aug 20, 2026.

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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 (8)

From the source registration record · current first

Morgan StanleyCurrent
Raleigh, NC · IA capacity

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

Feb 21, 2006 → Jun 1, 2009
Citigroup Global Markets Inc.
IA capacity

Feb 21, 2006 → Jun 1, 2009
Legg Mason Wood Walker Inc
IA capacity

Dec 31, 2001 → Feb 21, 2006
Legg Mason Wood Walker, Incorporated
BD capacity

Aug 4, 1989 → Feb 21, 2006
Thomson Mckinnon Securities Inc.
BD capacity

Feb 24, 1988 → Aug 8, 1989
Carolina Securities Corporation
BD capacity

Oct 25, 1985 → Feb 24, 1988
Dean Witter Reynolds Inc.
BD capacity

Sep 9, 1983 → Nov 6, 1985

Source & corrections

Where this page comes from

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