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Detailed Report
LINDSAY ANN SMITH
CRD#: 5915025
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 300 Linden Oaks
Suite 200
Rochester, NY 14625
Registration History
201220142016201820202022202420262 FIRMS2015 - Present (9 years)BAXA ADVISORS, LLC (CRD# 6627)2014 - 2015 (<1 year)BMML INVESTORS SERVICES, LLC (CRD# 10409)2011 - 2012 (1 year)
License(s)

State Registrations

B
Alabama 5/1/2015
B
Nebraska 12/5/2019
B
Alaska 12/5/2019
B
Nevada 12/5/2019
B
Arizona 5/1/2015
B
New Hampshire 5/1/2015
B
Arkansas 12/5/2019
B
New Jersey 5/1/2015
B
California 5/1/2015
B
New Mexico 5/1/2015
B
Colorado 5/1/2015
B
New York 5/1/2015
B
Connecticut 5/1/2015
IA
New York 4/26/2024
IA
Connecticut 9/15/2022
B
North Carolina 5/1/2015
B
Delaware 4/9/2019
B
North Dakota 12/5/2019
B
District of Columbia 5/1/2015
B
Ohio 5/1/2015
B
Florida 3/20/2015
B
Oklahoma 12/5/2019
IA
Florida 5/6/2015
B
Oregon 5/1/2015
B
Georgia 3/20/2015
B
Pennsylvania 5/1/2015
B
Hawaii 12/5/2019
B
Puerto Rico 5/1/2015
B
Idaho 5/1/2015
B
Rhode Island 5/1/2015
B
Illinois 5/1/2015
B
South Carolina 12/5/2019
B
Indiana 5/1/2015
B
South Dakota 12/5/2019
B
Iowa 5/1/2015
B
Tennessee 12/5/2019
B
Kansas 5/1/2015
B
Texas 5/1/2015
B
Kentucky 5/1/2015
IA
Texas 4/8/2020
B
Louisiana 12/5/2019
B
Utah 5/1/2015
B
Maine 5/1/2015
B
Vermont 12/5/2019
B
Maryland 5/1/2015
B
Virgin Islands 11/20/2024
B
Massachusetts 5/1/2015
B
Virginia 5/1/2015
B
Michigan 5/1/2015
B
Washington 5/1/2015
B
Minnesota 5/1/2015
B
West Virginia 5/1/2015
B
Mississippi 5/1/2015
B
Wisconsin 5/1/2015
B
Missouri 5/1/2015
B
Wyoming 5/1/2015
B
Montana 5/1/2015

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)
300 Linden Oaks Suite 200, Rochester, NY 14625
Registered with this firm since 5/6/2015
B
MORGAN STANLEY (CRD#:149777)
300 Linden Oaks Suite 200, Rochester, NY 14625
Registered with this firm since 3/9/2015
Previous Registration(s)
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B
 04/17/2014 - 01/09/2015 AXA ADVISORS, LLC (CRD#:6627) MOUNT PLEASANT, SC
B
 07/01/2011 - 12/07/2012 MML INVESTORS SERVICES, LLC (CRD#:10409) MT. PLEASANT, SC
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.