HS
HS
Howard Smith
30 Years of Experience
Santa Barbara, CA
2 DisclosuresBroker
Howard Smith is a registered investment advisor at Morgan Stanley, based in Santa Barbara, CA, with 30 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
1332 Anacapa Street, 2nd Floor, Santa Barbara, CA, 93101
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Regulatory History (2)
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Customer Dispute
March 2020Denied
Customer Dispute
March 2008Settled
Other Business Activities
Howard is marketing a novel he authored, receiving residual income from screenwriting, and authoring/publishing other books. He also serves as a board member and on the finance committee for the Santa Barbara Symphony Orchestra, dedicating a few hours per week.
Employment History
Current Registrations
Morgan Stanley
June 2009 - Present · 17 yrs 1 mo
Morgan StanleyBroker
June 2009 - Present · 17 yrs 1 mo
Previous Registrations
Morgan Stanley & CO. Incorporated
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley & CO. IncorporatedBroker
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley
July 1997 - April 2007 · 9 yrs 9 mos
Morgan Stanley Dw INC.Broker
February 1996 - April 2007 · 11 yrs 2 mos
State Registrations21 states
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AdvisorBrokerBoth
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Exams
No exam information available for this advisor.