KS
KS
Keith Smithers is a registered investment advisor at Morgan Stanley, based in Cornelius, NC, with 39 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
17505 West Catawba Avenue, Suite 300, Cornelius, NC, 28031
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Regulatory History (2)
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Customer Dispute
March 2022Denied
Customer Dispute
October 2010Denied
Other Business Activities
Keith is a part owner of Oceanwoods Associates LLC and a beach house. He also owns a lending business and rental property in Cornelius, North Carolina, dedicating minimal time to these activities.
Employment History
Current Registrations
Morgan Stanley
June 2009 - Present · 17 yrs 1 mo
Morgan StanleyBroker
June 2009 - Present · 17 yrs 1 mo
Morgan Stanley
June 2009 - Present · 17 yrs 1 mo
Previous Registrations
Citigroup Global Markets INC.Broker
February 2006 - June 2009 · 3 yrs 4 mos
Citigroup Global Markets INC.
February 2006 - June 2009 · 3 yrs 4 mos
Legg Mason Wood Walker INC
December 2000 - February 2006 · 5 yrs 2 mos
Legg Mason Wood Walker, IncorporatedBroker
August 1988 - February 2006 · 17 yrs 6 mos
The Pinnacle Group, INC.Broker
March 1987 - August 1988 · 1 yr 5 mos
Lifestyle Investment Services, IncorporatedBroker
August 1986 - April 1987 · 8 mos
State Registrations32 states
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AdvisorBrokerBoth
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Exams
No exam information available for this advisor.