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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Smith is a financial advisor with over 20 years of experience in the industry. David has a strong background in both brokerage and investment advisory services. David is currently registered as a Registered Representative and an Investment Advisor Representative with Morgan Stanley. David has been with Morgan Stanley since 2009. Prior to that, David worked at a number of other firms including Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., E1 Asset Management, Inc., and PHD Capital. David has a wide range of experience in the financial services industry and is committed to providing his clients with the highest level of service.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CA
04/07/2020 - Present
Morgan Stanley (San Diego CA)
NY
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (PURCHASE NY)
NY
02/25/2005 - 04/02/2007
MORGAN STANLEY DW INC. (PURCHASE NY)
NJ
04/04/2003 - 08/09/2004
E1 ASSET MANAGEMENT, INC. (JERSEY CITY NJ)
NY
10/03/2000 - 04/08/2003
PHD CAPITAL (NEW YORK NY)
IA
Issued 12/06/2018
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/17/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/30/2018
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/29/2018
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/04/2003
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/01/2018
Series 3 - National Commodity Futures Examination
BC
Issued 10/02/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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