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Detailed Report
DAVID HARRISON SMITH
CRD#: 3109241
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 1650 Market Street 42Nd Floor
Philadelphia, PA 19103
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2020 - Present (4 years)BGOLDMAN SACHS & CO. LLC (CRD# 361)1998 - 2020 (21 years)
Disclosure(s)
View By:
11/3/2014
Customer Dispute
Award / Judgment
License(s)

State Registrations

B
Arizona 7/8/2020
B
New Hampshire 7/8/2020
B
Arkansas 9/19/2024
B
New Jersey 7/8/2020
B
California 7/8/2020
B
New Mexico 7/8/2020
B
Connecticut 7/8/2020
B
New York 7/8/2020
B
Delaware 7/28/2020
B
North Carolina 7/8/2020
B
District of Columbia 7/8/2020
B
Ohio 9/10/2024
B
Florida 7/8/2020
B
Pennsylvania 7/8/2020
B
Georgia 7/15/2020
IA
Pennsylvania 7/27/2020
B
Kentucky 7/8/2020
B
South Carolina 7/8/2020
B
Maryland 7/8/2020
B
Tennessee 7/14/2020
B
Massachusetts 8/28/2020
IA
Texas 7/21/2020
B
Michigan 7/8/2020
B
Virginia 7/8/2020
B
Minnesota 7/8/2020
B
West Virginia 7/8/2020

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)
1650 Market Street 42Nd Floor, Philadelphia, PA 19103
Registered with this firm since 7/21/2020
B
MORGAN STANLEY (CRD#:149777)
1650 Market Street 42Nd Floor, Philadelphia, PA 19103
Registered with this firm since 7/8/2020
Previous Registration(s)
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B
 10/14/1998 - 07/30/2020 GOLDMAN SACHS & CO. LLC (CRD#:361) 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.