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Stephanie Anne Smith

Morgan Stanley

Boca Raton, FL

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2011-04-05
FL RA APPROVED 2009-06-01
  • TX RA
    APPROVED_RES
    Since 2011-04-05
  • FL RA
    APPROVED
    Since 2009-06-01

Branch Locations

595 South Federal Highway Suite 400, Boca Raton, FL 33432 • 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 Boca Raton FL 06/2009 Present
Previous Registrations
  • 2007-08-20 → 2009-06-01
    Morgan Stanley & Co. Llc
    Boca Raton, FL
  • 2000-08-30 → 2007-08-27
    Boca Raton, FL
    Boca Raton, FL
Other Businesses

Personal business; Non Investment related; Boca Raton, FL; Business / Company; Director (proprietor, partner, officer, director, employee, trustee, agent); March/2019; During business hours: 0; After business hours: 4; Making and decorating sugar cookies

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-04-04
S63 Uniform Securities Agent State Law Examination 2000-11-20
  • S65 Uniform Investment Adviser Law Examination
    2008-04-04
  • S63 Uniform Securities Agent State Law Examination
    2000-11-20
Other Names
  • Stephanie Anne Linke

View on SEC IAPD

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