Best Investors Account Sign in

Samuel James Hodges

Morgan Stanley

Dallas, TX

CRD 6632426

Claim This Profile
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

AuthorityCategoryStatusDate
TX RA APPROVED 2024-10-25
  • TX RA
    APPROVED
    Since 2024-10-25

Branch Locations

2121 North Pearl Street Suite 500, Dallas, TX 75201 • 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
Ubs Financial Services Inc. Waco TX 01/2019 10/2024
Ubs Financial Services Inc. Waco TX 04/2016 01/2019
Baylor University Waco TX 08/2015 12/2018
Morgan Stanley Smith Barney Llc Austin TX 10/2024 02/2025
Morgan Stanley Smith Barney Llc Dallas TX 02/2025 Present
  • 01/2019 → 10/2024
    Ubs Financial Services Inc.
    Waco, TX
  • 04/2016 → 01/2019
    Ubs Financial Services Inc.
    Waco, TX
  • 08/2015 → 12/2018
    Baylor University
    Waco, TX
  • 10/2024 → 02/2025
    Morgan Stanley Smith Barney Llc
    Austin, TX
  • 02/2025 → Present
    Morgan Stanley Smith Barney Llc
    Dallas, TX
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-04-11
  • S66 Uniform Combined State Law Examination
    2021-04-11
Other Names
  • Sam Hodges

View on SEC IAPD

Nearby Firms

RETIREMENT ADVISORS, LLC
7TH HARVEST INVESTMENTS
ADVISOR RESOURCE COUNCIL

Nearby Investors

MICHAEL CHARLES PERRY
Samuel James Perry
Michael Charles Perry

Nearby Offices

RETIREMENT ADVISORS, LLC · DALLAS, TX
7TH HARVEST INVESTMENTS · DALLAS, TX
ADVISOR RESOURCE COUNCIL · Dallas, TX

More in Dallas, TX

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor