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Detailed Report
STUART WINTON SMITH
CRD#: 1769970
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 3102 West End Avenue
Suite 200
Nashville, TN 37203
Registration History
199019952000200520102015202020252 FIRMS2009 - Present (15 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1993 - 2009 (15 years)BLEHMAN BROTHERS INC. (CRD# 7506)1987 - 1993 (5 years)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2004 - 2009 (5 years)
Disclosure(s)
View By:
7/21/2009
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 6/1/2009
B
Montana 10/20/2022
B
Alaska 6/1/2009
B
Nebraska 6/1/2009
B
Arizona 6/1/2009
B
Nevada 3/30/2020
B
Arkansas 10/25/2022
B
New Hampshire 6/1/2009
B
California 6/1/2009
B
New Jersey 6/1/2009
B
Colorado 6/1/2009
B
New York 6/1/2009
B
District of Columbia 5/14/2020
B
North Carolina 6/1/2009
B
Florida 6/1/2009
B
Ohio 6/1/2009
B
Georgia 6/1/2009
B
Oklahoma 4/8/2024
B
Idaho 6/1/2009
B
Oregon 6/1/2022
B
Illinois 6/1/2009
B
Pennsylvania 6/1/2009
B
Indiana 6/1/2009
B
Puerto Rico 2/19/2020
B
Kansas 2/14/2020
B
Rhode Island 3/16/2020
B
Kentucky 1/8/2020
B
South Carolina 6/1/2009
B
Louisiana 6/1/2009
B
Tennessee 6/1/2009
B
Maine 11/1/2022
IA
Tennessee 6/1/2009
B
Maryland 2/10/2020
B
Texas 6/1/2009
B
Massachusetts 1/2/2020
IA
Texas 5/5/2020
B
Michigan 6/1/2009
B
Utah 6/1/2009
B
Minnesota 2/11/2020
B
Vermont 6/1/2009
B
Mississippi 2/10/2020
B
Virginia 6/1/2009
B
Missouri 2/11/2020
B
Washington 6/1/2009

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MORGAN STANLEY (CRD#:149777)
3102 West End Avenue Suite 200, Nashville, TN 37203
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
3102 West End Avenue Suite 200, Nashville, TN 37203
Registered with this firm since 6/1/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/08/2004 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NASHVILLE, TN
B
 07/31/1993 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NASHVILLE, TN
B
 11/25/1987 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.