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THOMAS CHARLES SMITH
CRD#: 2359677
IA
B
MORGAN STANLEYCRD#: 149777 777 South Flagler Drive
Suite 700E
West Palm Beach, FL 33401
Suite 700E
West Palm Beach, FL 33401
0
Disclosures
29
Years of Experience
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State Registrations
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Alabama 6/1/2009
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Montana 1/18/2017
B
Arizona 1/19/2023
B
Nebraska 2/14/2018
B
Arkansas 8/30/2022
B
New Hampshire 4/6/2022
B
California 6/1/2009
B
New Jersey 6/1/2009
B
Colorado 4/16/2012
B
New Mexico 6/2/2020
B
Connecticut 6/1/2009
B
New York 6/1/2009
B
Delaware 8/23/2022
B
North Carolina 1/19/2017
B
District of Columbia 6/1/2009
B
Ohio 6/1/2009
B
Florida 6/1/2009
B
Oklahoma 6/28/2023
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Florida 6/1/2009
B
Oregon 2/1/2022
B
Georgia 6/1/2009
B
Pennsylvania 1/18/2017
B
Illinois 6/1/2009
B
South Carolina 1/18/2017
B
Indiana 8/30/2019
B
Tennessee 8/2/2012
B
Louisiana 1/18/2017
B
Texas 9/3/2020
B
Maine 8/23/2022
IA
Texas 9/16/2020
B
Maryland 1/18/2017
B
Utah 1/18/2017
B
Massachusetts 4/15/2013
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Vermont 2/21/2020
B
Michigan 1/18/2017
B
Virginia 6/1/2009
B
Mississippi 1/18/2017
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Washington 1/18/2017
B
Missouri 8/23/2022
SRO Registrations
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Registered with this firm since 6/1/2009
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Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/26/2007 - 06/01/2009 | WEST PALM BEACH, FL | |
B | 11/23/2007 - 06/01/2009 | WEST PALM BEACH, FL | |
IA | 10/13/2003 - 11/26/2007 | WEST PALM BEACH, FL | |
B | 10/10/2003 - 11/26/2007 | WEST PALM BEACH, FL | |
IA | 02/16/2001 - 10/21/2003 | DELRAY BEACH, FL | |
B | 02/01/2001 - 10/21/2003 | WESTLAKE, TX | |
B | 07/21/1995 - 06/28/1999 | WESTLAKE, TX | |
B | 09/07/1993 - 07/18/1995 | MINNEAPOLIS, MN | |
B | 09/07/1993 - 07/18/1995 | MINNEAPOLIS, MN |
WEST PALM BEACH, FL
10/13/2003 - 11/26/2007
WEST PALM BEACH, FL
10/10/2003 - 11/26/2007
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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.
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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.