Eric T. Smith

Employer firm

Morgan Stanley CRD 149777

$1.96T regulatory AUM 416,984 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (investment companies)
Portfolio management (institutions)
Pension consulting
Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2021-09-17
UT	RA	APPROVED	2021-04-09

TX RA
APPROVED

Since 2021-09-17
UT RA
APPROVED

Since 2021-04-09

Branch Locations

American Fork, UT • United States

Huntsville, UT • United States

845 Texas Avenue, Houston, TX 77002 • United States

60 East South Temple 20Th Floor, Salt Lake City, UT 84111 • 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

Organization	City	State	From	To
Jpmorgan Securities Llc	Salt Lake City	UT	07/2011	04/2021
Jpmorgan Chase Bank, N.A.	Salt Lake City	UT	07/2011	04/2021
Morgan Stanley Smith Barney Llc	Salt Lake City	UT	04/2021	Present
Psk Capital, Llc	Littleton	CO	04/2018	03/2020
Nicoleric, Llc	Littleton	CO	11/2015	03/2019
Morgan Stanley Private Bank, N.A	New York	NY	05/2021	Present

07/2011 → 04/2021

Jpmorgan Securities Llc

Salt Lake City, UT
07/2011 → 04/2021

Jpmorgan Chase Bank, N.A.

Salt Lake City, UT
04/2021 → Present

Morgan Stanley Smith Barney Llc

Salt Lake City, UT
04/2018 → 03/2020

Psk Capital, Llc

Littleton, CO
11/2015 → 03/2019

Nicoleric, Llc

Littleton, CO
05/2021 → Present

Morgan Stanley Private Bank, N.A

New York, NY

Other Businesses

*436960 - Natural History Museum of Utah.; Investment related No; Salt Lake City, UT; Animals, Art/Culture, Children/Youth, Civic/Community, Land Preservation, Social & Recreational, Advisory Board (proprietor, partner, officer, director, employee, trustee, agent); April 2020; During business hours: 2; After business hours 08; Business Development/Growth.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2011-11-09

S63 Uniform Securities Agent State Law Examination

2011-11-09

Designations

Certified Financial Planner

Other Names

Eric Thompson Smith

View on SEC IAPD