Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you R? Claim Your ProfileRaymond Scott Smith is a financial advisor at Morgan Stanley with over 30 years of experience in the industry. Raymond Scott Smith has experience working with individuals, high-net-worth individuals, corporations, insurance companies, investment companies, charitable organizations, pension and profit-sharing plans, banking or thrift institutions, state or municipal government entities, and investment clubs. Raymond Scott Smith offers a variety of financial services including financial planning, asset allocation advice, portfolio management, and educational seminars. Raymond Scott Smith is registered with the state of Georgia as an investment advisor and as a broker. Raymond Scott Smith is also registered as a broker in Texas.
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
GA
06/01/2009 - Present
Morgan Stanley (Alpharetta GA)
GA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (ALPHARETTA GA)
GA
09/04/1998 - 04/02/2007
MORGAN STANLEY DW INC. (ALPHARETTA GA)
NY
06/21/1991 - 09/15/1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NJ
11/08/1985 - 06/06/1991
FIRST INVESTORS CORPORATION (EDISON NJ)
NA
09/24/1985 - 10/09/1985
THE STUART-JAMES COMPANY, INC.
IA
Issued 01/30/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/24/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/25/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/25/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 07/30/1987
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/02/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 09/21/1985
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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