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Detailed Report
DIANNA L SMITH
CRD#: 4165759
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 11161 Overbrook Road
Suite 225
Leawood, KS 66211
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2000 - 2002 (2 years)2 FIRMS2002 - 2007 (4 years)2 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - Present (15 years)
License(s)

State Registrations

B
Alabama 1/16/2020
B
Montana 3/6/2023
B
Alaska 4/28/2017
B
Nebraska 1/23/2014
B
Arizona 6/1/2009
B
Nevada 6/1/2009
B
Arkansas 4/1/2020
B
New Hampshire 3/8/2019
B
California 6/1/2009
B
New Jersey 6/1/2009
B
Colorado 6/1/2009
B
New Mexico 9/6/2018
B
Connecticut 12/9/2009
B
New York 6/1/2009
B
Delaware 9/6/2018
B
North Carolina 6/1/2009
B
District of Columbia 8/1/2017
B
North Dakota 2/8/2018
B
Florida 6/1/2009
B
Ohio 6/1/2009
B
Georgia 6/1/2009
B
Oklahoma 6/1/2009
B
Hawaii 1/6/2015
B
Oregon 6/1/2009
B
Idaho 1/11/2021
B
Pennsylvania 6/1/2009
B
Illinois 6/1/2009
B
Puerto Rico 4/24/2019
B
Indiana 3/11/2017
B
Rhode Island 2/16/2023
B
Iowa 6/1/2009
B
South Carolina 4/22/2014
B
Kansas 6/1/2009
B
South Dakota 1/7/2020
IA
Kansas 6/1/2009
B
Tennessee 6/13/2014
B
Kentucky 8/19/2015
B
Texas 6/1/2009
B
Louisiana 1/30/2020
IA
Texas 6/1/2009
B
Maine 12/13/2013
B
Utah 8/19/2014
B
Maryland 6/1/2009
B
Vermont 3/6/2023
B
Massachusetts 2/15/2011
B
Virginia 6/1/2009
B
Michigan 8/30/2011
B
Washington 6/1/2009
B
Minnesota 6/1/2009
B
West Virginia 1/5/2023
B
Mississippi 2/7/2018
B
Wisconsin 6/1/2009
B
Missouri 6/1/2009
B
Wyoming 1/26/2022

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)
11161 Overbrook Road Suite 225, Leawood, KS 66211
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
11161 Overbrook Road Suite 225, Leawood, KS 66211
Registered with this firm since 6/1/2009
Previous Registration(s)
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IA
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) OVERLAND PARK, KS
B
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) OVERLAND PARK, KS
IA
 10/18/2002 - 04/02/2007 MORGAN STANLEY (CRD#:7556) OVERLAND PARK, KS
B
 10/18/2002 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) OVERLAND PARK, KS
IA
 09/21/2000 - 10/23/2002 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) LEAWOOD, KS
B
 05/17/2000 - 10/23/2002 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) 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.