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Kimberly S Smith

Morgan Stanley

Oak Brook, IL

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2022-10-03
IL RA APPROVED 2022-09-06
  • TX RA
    APPROVED
    Since 2022-10-03
  • IL RA
    APPROVED
    Since 2022-09-06

Branch Locations

2211 York Road Suite 100, Oak Brook, IL 60523 • 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
Morgan Stanley Smith Barney Llc Oak Brook IL 07/2017 Present
Unemployed Hillside IL 03/2016 06/2017
  • 07/2017 → Present
    Morgan Stanley Smith Barney Llc
    Oak Brook, IL
  • 03/2016 → 06/2017
    Unemployed
    Hillside, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-09-06
S63 Uniform Securities Agent State Law Examination 2002-02-11
  • S66 Uniform Combined State Law Examination
    2022-09-06
  • S63 Uniform Securities Agent State Law Examination
    2002-02-11
Other Names
  • Kimberly Sheri' Smith
  • Kim Smith

View on SEC IAPD

Other Firms

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CLIFTONLARSONALLEN WEALTH ADVISORS, LLC
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
WEALTHQUEST CORPORATION
ERGAWEALTH ADVISORS, INC.
CETERA INVESTMENT ADVISERS LLC
LPL FINANCIAL LLC
GEIGER WEALTH MANAGEMENT

Other Investors

TODD BRENDAN SCHROEDER
MICHAEL CHRISTOPHER LEE
DANIEL P SCHIPITSCH
ALAN P MADEJ
Anthony Joesph Bittman
Joseph Herr
Lauren A Mlady
Danieh Kasar

Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · OAK BROOK, IL
CLIFTONLARSONALLEN WEALTH ADVISORS, LLC · OAK BROOK, IL
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · OAK BROOK, IL
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · Oak Brook, IL
WEALTHQUEST CORPORATION · OAK BROOK, IL
ERGAWEALTH ADVISORS, INC. · OAK BROOK, IL
CETERA INVESTMENT ADVISERS LLC · OAK BROOK, IL
LPL FINANCIAL LLC · OAK BROOK, IL

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