David Smith

CRD 1172337 · Morgan Stanley · Orland Park, IL

IA RegisteredBroker

Also appears in the source record as: David J. Smith; David John Smith

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 (22): Arizona · California · Colorado · Florida · Illinois · Indiana · Kansas · Kentucky · Maryland · Massachusetts · Michigan · Missouri · Nevada · New Jersey · New Mexico · Ohio · Pennsylvania · South Dakota · Texas · Utah · Vermont · 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 1172337 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
Orland Park, IL · IA capacity

Oct 16, 2025 → present
Ubs Financial Services Inc.
BD capacity

Sep 25, 2008 → Oct 20, 2025
Ubs Financial Services Inc.
IA capacity

Sep 25, 2008 → Oct 20, 2025
Morgan Stanley & Co. Incorporated
BD capacity

Apr 2, 2007 → Oct 6, 2008
Morgan Stanley & Co. Incorporated
IA capacity

Apr 2, 2007 → Oct 6, 2008
Morgan Stanley
IA capacity

Feb 26, 1998 → Apr 2, 2007
Morgan Stanley Dw Inc.
BD capacity

Aug 9, 1984 → Apr 2, 2007
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Aug 24, 1983 → Jul 6, 1984

Source & corrections

Where this page comes from

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