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Investment Adviser Firm Summary

MORGAN STANLEY SMITH BARNEY LLC (CRD# 149777 / SEC# 8-68191, 801-70103)
Alternate Names: CITIGROUP INSTITUTIONAL CONSULTING , CONSULTING GROUP , GRAYSTONE CONSULTING , MORGAN STANLEY , MORGAN STANLEY CONSULTING GROUP , MORGAN STANLEY PRIVATE WEALTH MANAGEMENT , MORGAN STANLEY SMITH BARNEY , MORGAN STANLEY SMITH BARNEY LLC , MORGAN STANLEY WEALTH MANAGEMENT , PRIVATE PORTFOLIO GROUP , SMITH BARNEY

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 05/11/2009

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 05/11/2009
Alaska 05/11/2009
Arizona 05/11/2009
Arkansas 05/11/2009
California 05/11/2009
Colorado 05/11/2009
Connecticut 05/11/2009
Delaware 05/15/2009
District of Columbia 05/11/2009
Florida 05/11/2009
Georgia 05/11/2009
Hawaii 05/11/2009
Idaho 05/11/2009
Illinois 06/01/2009
Indiana 05/11/2009
Iowa 05/12/2009
Kansas 05/11/2009
Kentucky 05/11/2009
Louisiana 05/11/2009
Maine 05/11/2009
Maryland 05/11/2009
Michigan 03/02/2010
Minnesota 05/11/2009
Mississippi 05/11/2009
Missouri 05/11/2009
Montana 05/11/2009
Nebraska 05/11/2009
Nevada 05/11/2009
New Hampshire 05/11/2009
New Jersey 06/15/2009
New Mexico 05/11/2009
New York 05/11/2009
North Carolina 05/11/2009
North Dakota 05/11/2009
Ohio 05/11/2009
Oklahoma 05/11/2009
Oregon 05/11/2009
Pennsylvania 05/11/2009
Rhode Island 05/11/2009
South Carolina 05/11/2009
South Dakota 06/16/2009
Tennessee 05/11/2009
Texas 05/19/2009
Utah 05/11/2009
Vermont 05/11/2009
Virgin Islands 05/11/2009
Virginia 05/11/2009
Washington 05/11/2009
West Virginia 05/11/2009
Wisconsin 05/11/2009
Wyoming 09/22/2017

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser