David Smith is a registered investment advisor at Morgan Stanley, based in Raleigh, NC, with 42 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,539,760 clients with $1700B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23050 advisors
IM Fee
Planning only
Assets Under Management
$1650.0B
Fee Structure
Investment management only (planning not offered)
Annual Retainer:Up to $500,000/year
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Location
3800 Glenwood Avenue, Suite 500, Raleigh, NC, 27612
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Regulatory History (1)
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Customer Dispute
March 2016Denied
Employment History
Current Registrations
Morgan StanleyBroker
June 2009 - Present · 16 yrs 11 mos
Morgan Stanley
June 2009 - Present · 16 yrs 11 mos
Previous Registrations
Citigroup Global Markets INC.
February 2006 - June 2009 · 3 yrs 4 mos
Citigroup Global Markets INC.Broker
February 2006 - June 2009 · 3 yrs 4 mos
Legg Mason Wood Walker INC
December 2001 - February 2006 · 4 yrs 2 mos
Legg Mason Wood Walker, IncorporatedBroker
August 1989 - February 2006 · 16 yrs 6 mos
Thomson Mckinnon Securities INC.Broker
February 1988 - August 1989 · 1 yr 6 mos
Carolina Securities CorporationBroker
October 1985 - February 1988 · 2 yrs 4 mos
Dean Witter Reynolds INC.Broker
September 1983 - November 1985 · 2 yrs 2 mos
State Registrations34 states
ALAZCACOCTDCFLGAHIIDILLAMAMDMEMIMOMSMTNCNJNVNYOHOKORPASCTNTXVAWAWIWV
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.