Best Investors Account Sign in

Stephen Loran Smith

Morgan Stanley

Santa Rosa, CA

Claim This Profile
Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2021-07-09
TX RA APPROVED 2021-07-09
  • CA RA
    APPROVED
    Since 2021-07-09
  • TX RA
    APPROVED
    Since 2021-07-09

Branch Locations

3562 Round Barn Circle 1St Floor, Santa Rosa, CA 95403 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Santa Rosa CA 05/1999 07/2021
Bank Of America,N.A. Santa Rosa CA 09/2009 07/2021
Morgan Stanley Smith Barney Llc Santa Rosa CA 07/2021 Present
Morgan Stanley Private Bank, N.A New York NY 07/2021 Present
  • 05/1999 → 07/2021
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Santa Rosa, CA
  • 09/2009 → 07/2021
    Bank Of America,N.A.
    Santa Rosa, CA
  • 07/2021 → Present
    Morgan Stanley Smith Barney Llc
    Santa Rosa, CA
  • 07/2021 → Present
    Morgan Stanley Private Bank, N.A
    New York, NY
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-11-15
S66 Uniform Combined State Law Examination 1999-08-13
  • S65 Uniform Investment Adviser Law Examination
    2005-11-15
  • S66 Uniform Combined State Law Examination
    1999-08-13
Other Names
  • Stephen L Smith
  • Stephen Loran Smith

View on SEC IAPD

Other Firms

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CALDWELL SUTTER CAPITAL, INC.
WELLS FARGO CLEARING SERVICES, LLC
EDWARD JONES
FOCUS PARTNERS WEALTH, LLC
LPL FINANCIAL LLC
STIFEL, NICOLAUS & COMPANY, INCORPORATED
A.E.I. FINANCIAL GROUP

Other Investors

JAMES BERNARD BERTERO
MICHAEL KEVIN MOBERLY
JENNIFER LEE KNAPP
MATTHEW JOSEPH VEAL
MATTHEW MARK DAVIS
JEFFREY DONALD OLE GOSPE
PAMELA LYNN KEZER
Blake Schmidt

Other Offices

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Santa Rosa, CA
CALDWELL SUTTER CAPITAL, INC. · Santa Rosa, CA
WELLS FARGO CLEARING SERVICES, LLC · SANTA ROSA, CA
WELLS FARGO CLEARING SERVICES, LLC · SANTA ROSA, CA
EDWARD JONES · SANTA ROSA, CA
FOCUS PARTNERS WEALTH, LLC · SANTA ROSA, CA
FOCUS PARTNERS WEALTH, LLC · SANTA ROSA, CA
LPL FINANCIAL LLC · SANTA ROSA, CA

More in Santa Rosa, CA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor