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Detailed Report
ERIC W SMITH
CRD#: 4222373
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 8889 Pelican Bay Boulevard
Suite 300
Naples, FL 34108
Registration History
20002002200420062008201020122014201620182020202220242026IAMORGAN STANLEY (CRD# 149777)2014 - Present (11 years)BMORGAN STANLEY (CRD# 149777)2013 - Present (11 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2007 - 2013 (6 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2000 - 2007 (6 years)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2009 - 2013 (4 years)IAMERRILL LYNCH PIERCE FENNER & ... (CRD# 7691)2004 - 2006 (2 years)
License(s)

State Registrations

B
Alabama 5/28/2021
B
New Jersey 4/1/2015
B
Arizona 5/28/2021
B
New Mexico 7/27/2023
B
California 9/30/2020
B
New York 11/8/2013
B
Colorado 5/28/2021
IA
New York 6/16/2021
B
Connecticut 5/28/2021
B
North Carolina 5/28/2021
B
Delaware 5/28/2021
B
North Dakota 5/28/2021
B
District of Columbia 5/28/2021
B
Ohio 4/24/2019
B
Florida 4/13/2020
B
Oregon 5/28/2021
IA
Florida 11/7/2022
B
Pennsylvania 12/8/2016
B
Georgia 5/28/2021
B
Rhode Island 5/28/2021
B
Hawaii 5/28/2021
B
South Carolina 5/28/2021
B
Illinois 5/28/2021
B
Tennessee 5/28/2021
B
Indiana 5/28/2021
B
Texas 11/8/2013
B
Iowa 5/28/2021
IA
Texas 2/7/2014
B
Louisiana 5/28/2021
B
Utah 5/28/2021
B
Maine 5/28/2021
B
Vermont 10/28/2022
B
Maryland 5/28/2021
B
Virgin Islands 5/28/2021
B
Massachusetts 7/25/2018
B
Virginia 12/19/2013
B
Michigan 5/28/2021
B
Washington 5/28/2021
B
Minnesota 11/8/2013
B
West Virginia 5/28/2021
B
Missouri 5/28/2021
B
Wisconsin 5/28/2021
B
Nevada 5/28/2021
B
Wyoming 5/28/2021
B
New Hampshire 5/28/2021

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)
8889 Pelican Bay Boulevard Suite 300, Naples, FL 34108
Registered with this firm since 2/7/2014
B
MORGAN STANLEY (CRD#:149777)
8889 Pelican Bay Boulevard Suite 300, Naples, FL 34108
Registered with this firm since 11/8/2013
Previous Registration(s)
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IA
 08/31/2009 - 11/18/2013 UBS FINANCIAL SERVICES INC. (CRD#:8174) ROCHESTER, NY
B
 01/05/2007 - 11/18/2013 UBS FINANCIAL SERVICES INC. (CRD#:8174) ROCHESTER, NY
B
 09/07/2000 - 01/09/2007 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PITTSFORD, NY
IA
 08/23/2004 - 12/31/2006 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) PITTSFORD, 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.