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Detailed Report
NEILL V SMITH JR.
NEILL V SMITH JR, NEILL V SMITH
CRD#: 2104195
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 680 WEST 10000 SOUTH
SOUTH JORDAN, UT 84095
Registration History
199019952000200520102015202020252 FIRMS2010 - 2011 (1 year)3 FIRMS2012 - 2012 (<1 year)2 FIRMS2012 - Present (12 years)BE*TRADE SECURITIES LLC (CRD# 29106)2006 - 2010 (4 years)BHARRISDIRECT LLC (CRD# 42159)2003 - 2005 (2 years)BFARMERS FINANCIAL SOLUTIONS, LLC (CRD# 103863)2003 - 2003 (<1 year)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)1993 - 2001 (8 years)BWADDELL & REED, INC. (CRD# 866)1990 - 1991 (<1 year)IAE*TRADE CAPITAL MANAGEMENT, LLC (CRD# 42159)2010 - 2010 (<1 year)
License(s)

State Registrations

B
Alabama 5/15/2019
B
Nevada 3/15/2019
B
Alaska 5/15/2019
B
New Hampshire 5/15/2019
B
Arizona 6/18/2018
B
New Jersey 10/8/2018
B
Arkansas 3/15/2019
B
New Mexico 7/28/2015
B
California 11/9/2016
IA
New Mexico 7/29/2015
B
Colorado 7/28/2015
B
New York 5/15/2019
B
Connecticut 10/8/2018
B
North Carolina 3/15/2019
B
Delaware 5/15/2019
B
North Dakota 3/15/2019
B
District of Columbia 5/15/2019
B
Ohio 5/15/2019
B
Florida 10/8/2018
B
Oklahoma 5/15/2019
B
Georgia 3/15/2019
B
Oregon 5/15/2019
B
Hawaii 11/9/2016
B
Pennsylvania 5/15/2019
B
Idaho 5/15/2019
B
Puerto Rico 3/15/2019
B
Illinois 3/15/2019
B
Rhode Island 3/15/2019
B
Indiana 3/15/2019
B
South Carolina 3/15/2019
B
Iowa 5/15/2019
B
South Dakota 3/15/2019
B
Kansas 5/15/2019
B
Tennessee 5/15/2019
B
Kentucky 5/15/2019
B
Texas 3/15/2019
B
Louisiana 5/15/2019
IA
Texas 5/15/2019
B
Maine 5/15/2019
B
Utah 6/5/2012
B
Maryland 5/15/2019
IA
Utah 6/6/2012
B
Massachusetts 3/11/2019
B
Vermont 5/15/2019
B
Michigan 5/15/2019
B
Virgin Islands 5/15/2019
B
Minnesota 3/15/2019
B
Virginia 5/15/2019
B
Mississippi 3/15/2019
B
Washington 3/15/2019
B
Missouri 5/15/2019
B
West Virginia 5/15/2019
B
Montana 5/15/2019
B
Wisconsin 3/15/2019
B
Nebraska 3/15/2019
B
Wyoming 2/5/2018

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)
680 WEST 10000 SOUTH, SOUTH JORDAN, UT 84095
Copperton, UT
Registered with this firm since 6/6/2012
B
MORGAN STANLEY (CRD#:149777)
680 WEST 10000 SOUTH, SOUTH JORDAN, UT 84095
Copperton, UT
Registered with this firm since 6/5/2012
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/18/2012 - 05/15/2012 AMERIVEST INVESTMENT MANAGEMENT, LLC (CRD#:111514) DRAPER, UT
IA
 01/18/2012 - 05/15/2012 TD AMERITRADE, INC. (CRD#:7870) DRAPER, UT
B
 01/12/2012 - 05/15/2012 TD AMERITRADE, INC. (CRD#:7870) DRAPER, UT
IA
 07/21/2010 - 08/12/2011 LINCOLN FINANCIAL ADVISORS CORPORATION (CRD#:3978) SALT LAKE CITY, UT
B
 07/20/2010 - 08/12/2011 LINCOLN FINANCIAL ADVISORS CORPORATION (CRD#:3978) SALT LAKE CITY, UT
IA
 02/01/2010 - 04/07/2010 E*TRADE CAPITAL MANAGEMENT, LLC (CRD#:42159) ARLINGTON, VA
B
 01/03/2006 - 04/07/2010 E*TRADE SECURITIES LLC (CRD#:29106) SANDY, UT
B
 11/10/2003 - 12/31/2005 HARRISDIRECT LLC (CRD#:42159) JERSEY CITY, NJ
B
 05/19/2003 - 11/13/2003 FARMERS FINANCIAL SOLUTIONS, LLC (CRD#:103863) WESTLAKE VILLAGE, CA
B
 01/25/1993 - 11/29/2001 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) SMITHFIELD, RI
B
 11/12/1990 - 03/01/1991 WADDELL & REED, INC. (CRD#:866) OVERLAND PARK, KS
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.