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Elizabeth Smith

Morgan Stanley
32 Years of Experience
Melville, NY
1 DisclosureBroker
View SEC Summary
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Elizabeth Smith is a registered investment advisor at Morgan Stanley, based in Melville, NY, with 32 years of industry experience. Elizabeth is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, High Net Worth, Investment Management, Retirement Planning. Their firm serves 2,703,720 clients with $2000B in assets under management.

Morgan Stanley
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23172 advisors
Number of Clients
2,703,720 clients
Average Client Portfolio
$726K average
Assets Under Management
$1961.9B

Fee Structure

Investment management only (planning not offered)

Morgan Stanley Smith Barney LLC charges a fee for its consulting services, which is generally payable quarterly in advance. The maximum fee for the services is $500,000, and fees are negotiable between the client and their private wealth advisor.

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Location

58 South Service Road, Suite 400, Melville, NY, 11747

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
June 2013
Award / Judgment
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Other Business Activities

Elizabeth is a trustee or co-trustee for two trusts in Mt. Sinai, New York, since 2014 and 2020, spending minimal time on one and a few hours per week outside business hours on the other. She also works as a horseback riding instructor in Melville, New York, since 2023, dedicating about 10% of her time outside business hours.

Employment History
Current Registrations
Morgan Stanley
May 2010 - Present · 16 yrs 5 mos
Morgan StanleyBroker
May 2010 - Present · 16 yrs 5 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
November 2004 - June 2010 · 5 yrs 7 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
September 2004 - June 2010 · 5 yrs 9 mos
Seligman Advisors, INC.Broker
May 2002 - March 2004 · 1 yr 10 mos
Ndb Capital Markets, LPBroker
May 2001 - May 2002 · 1 yr
Bt Securities CorporationBroker
April 1994 - May 1997 · 3 yrs 1 mo
Prudential Securities IncorporatedBroker
July 1993 - February 1994 · 7 mos
Punk, Ziegel & Knoell, L.P.Broker
August 1990 - April 1993 · 2 yrs 8 mos
Painewebber IncorporatedBroker
May 1989 - September 1990 · 1 yr 4 mos
State Registrations31 states
AZCACOCTDEFLGAIDILKSMAMDMEMIMONCNHNJNVNYOHOKORPARISCTXUTVAWAWV
AdvisorBrokerBoth

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Exams
No exam information available for this advisor.
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Elizabeth Smith - Financial Advisor | TrueAdvisor