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Anthony Smith

28 Years of Experience
New York, NY
3 DisclosuresBroker

Anthony Smith is a registered investment advisor at Morgan Stanley, based in New York, NY, with 28 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

55 East 52nd Street, 28th Floor, New York, NY, 10055

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History

Regulatory History (3)
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
April 2017
Settled
Customer Dispute
March 2001
Closed-No Action
Criminal
January 1988
Final Disposition
Other Business Activities

Anthony works as a model for Bicoastal Fitting, a modeling agency. He spends minimal time on this activity during business hours and a few hours per week after business hours.

Employment History
Current Registrations
Morgan Stanley
April 2021 - Present · 5 yrs 1 mo
Morgan StanleyBroker
April 2021 - Present · 5 yrs 1 mo
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
January 2013 - May 2021 · 8 yrs 4 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
January 1998 - May 2021 · 23 yrs 4 mos
State Registrations23 states
ARCACTFLILKYLAMAMDMEMNMTNCNHNJNYOHPARITXUTVAWA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

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