William Smith is a CFP-designated registered investment advisor at Morgan Stanley, based in San Diego, CA, with 45 years of industry experience. William 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.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
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.
Location
16644 West Bernardo Drive, Suite 400, San Diego, CA, 92127
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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William is involved in several outside business activities, including writing articles for Horsesmouth.com and "66 Rules of the Road", serving as Vice President for Caretrain, co-owning rental property and farmland, and acting as treasurer for the Rotary Club of Escondido. He also serves on the finance committee for Neighborhood Healthcare and as a trustee for a trust.
Employment History
Current Registrations
Morgan StanleyBroker
Morgan Stanley
Previous Registrations
Wells Fargo Clearing Services, LLCBroker
Wells Fargo Clearing Services, LLC
Prudential Securities Incorporated
Prudential Securities IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
University Securities CorporationBroker
State Registrations27 states
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
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