Individual Firm
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R SCOTT SMITH
RAYMOND SCOTT SMITH
CRD#: 1401543
IA
B
MORGAN STANLEYCRD#: 149777 2400 Lakeview Parkway Suite 300
Alpharetta, GA 30009
Alpharetta, GA 30009
View By:
9/11/2006
Customer Dispute
Denied
State Registrations
B
Alabama 6/1/2009
B
New Mexico 3/24/2015
B
Arizona 1/21/2020
B
New York 7/20/2009
B
California 7/2/2018
B
North Carolina 6/1/2009
B
Colorado 6/1/2009
B
Ohio 4/19/2010
B
Florida 6/1/2009
B
Oklahoma 1/21/2021
B
Georgia 6/1/2009
B
Oregon 7/20/2009
IA
Georgia 6/1/2009
B
Pennsylvania 1/14/2025
B
Idaho 6/17/2019
B
South Carolina 6/1/2009
B
Illinois 6/1/2009
B
Tennessee 7/20/2009
B
Indiana 7/31/2014
B
Texas 6/1/2009
B
Louisiana 6/1/2009
IA
Texas 6/1/2009
B
Maryland 7/23/2012
B
Utah 3/6/2023
B
Michigan 6/1/2009
B
Vermont 6/1/2009
B
Mississippi 3/9/2020
B
Virginia 2/6/2018
B
Missouri 6/11/2010
B
Washington 7/28/2021
B
Nevada 7/14/2022
B
West Virginia 6/1/2009
B
New Hampshire 7/10/2018
B
Wisconsin 12/21/2016
B
New Jersey 9/28/2012
SRO Registrations
B
B
B
B
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Learn about permitted activities of registered principals
IA
Registered with this firm since 6/1/2009
B
Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/02/2007 - 06/01/2009 | ALPHARETTA, GA | |
B | 04/02/2007 - 06/01/2009 | ALPHARETTA, GA | |
IA | 02/25/2003 - 04/02/2007 | ALPHARETTA, GA | |
B | 09/04/1998 - 04/02/2007 | ALPHARETTA, GA | |
B | 06/21/1991 - 09/15/1998 | NEW YORK, NY | |
B | 11/08/1985 - 06/06/1991 | EDISON, NJ | |
B | 09/24/1985 - 10/09/1985 |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.