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Alison Marie Smith

Morgan Stanley & Co. LLC

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About Alison Marie Smith

Alison Marie Smith is a financial advisor with over 30 years of experience in the financial services industry. Alison is currently registered with Morgan Stanley & Co. LLC. Prior to joining Morgan Stanley, Alison was a registered representative at Calvert Investment Distributors, Inc. Alison holds FINRA Series 7, 24, 99TO, and SIE licenses and has been active in the financial industry since 1989.

Firm Information

Alison Smith is currently registered with Morgan Stanley & Co. LLC. Morgan Stanley & Co. LLC is a Limited Liability Company formed on December 3, 1969. It is registered in 53 states and has one approved SEC registration. The firm has been involved in 471 Regulatory Events, 5 Civil Events, and 54 Arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

462

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Alison Smith’s Registration & Firm History

MD

01/03/2017 - Present

Morgan Stanley & Co. LLC (Baltimore MD)

MD

04/12/1995 - 12/01/2015

CALVERT INVESTMENT DISTRIBUTORS, INC. (BETHESDA MD)

MD

12/16/1987 - 04/16/1997

THE ADVISORS GROUP, INC. (BETHESDA MD)

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Licenses & Designations

BC

Issued 12/13/2005

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/15/1986

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

MIAX Sapphire

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Alison Marie Smith.
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