Individual Firm
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
JEFFREY SCOTT SMITH
CRD#: 2336683
IA
B
MORGAN STANLEYCRD#: 149777 150 Second Avenue North
Suite 1400
St. Petersburg, FL 33701
Suite 1400
St. Petersburg, FL 33701
View By:
3/26/2010
Customer Dispute
Denied
State Registrations
B
California 9/18/2024
B
North Carolina 10/18/2019
B
Connecticut 10/18/2019
B
Ohio 10/18/2019
B
Delaware 10/18/2019
B
Oregon 12/13/2022
B
Florida 10/18/2019
B
Tennessee 10/18/2019
IA
Florida 10/25/2019
B
Texas 10/18/2019
B
Georgia 11/11/2021
IA
Texas 10/18/2019
B
Hawaii 12/13/2022
B
Utah 10/18/2019
B
Indiana 10/28/2019
B
Virginia 10/18/2019
B
New Mexico 10/18/2019
B
Washington 10/18/2019
B
New York 10/18/2019
B
Wisconsin 8/18/2021
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 10/18/2019
B
Registered with this firm since 10/18/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/09/2009 - 10/25/2019 | ST. PETERSBURG, FL | |
B | 01/27/2009 - 10/25/2019 | ST. PETERSBURG, FL | |
IA | 12/15/1998 - 01/29/2009 | INDIANAPOLIS, IN | |
B | 11/18/1994 - 01/29/2009 | INDIANAPOLIS, IN | |
B | 08/05/1994 - 12/31/1994 | CHICAGO, IL | |
B | 01/07/1994 - 05/27/1994 | COLUMBUS, OH | |
B | 04/08/1993 - 09/24/1993 | SPRINGFIELD, MA | |
B | 04/08/1993 - 09/24/1993 | NEW YORK, NY |
INDIANAPOLIS, IN
12/15/1998 - 01/29/2009
INDIANAPOLIS, IN
11/18/1994 - 01/29/2009
For additional information about investment advisers or broker-dealers, please visit
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.