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Julie Louise Smith

Morgan Stanley

Santa Barbara, CA

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-03-11
CA RA APPROVED 2013-05-28
  • TX RA
    APPROVED_RES
    Since 2020-03-11
  • CA RA
    APPROVED
    Since 2013-05-28

Branch Locations

1332 Anacapa Street 2Nd Floor, Santa Barbara, CA 93101 • 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 Santa Barbara CA 04/2013 Present
Previous Registrations
  • 2010-11-11 → 2012-02-08
    Cetera Investment Services Llc
    Gilroy, CA
    Camarillo, CA
    Goleta, CA
    Salinas, CA
    Port Hueneme, CA
    Lompoc, CA
    Santa Barbara, CA
    Santa Barbara, CA
    Monterey, CA
    Ventura, CA
    Carpinteria, CA
    Westlake Village, CA
    Monterey, CA
    Thousand Oaks, CA
    Goleta, CA
    Santa Barbara, CA
    San Luis Obispo, CA
    Ventura, CA
    Goleta, CA
    Montecito, CA
    Gilroy, CA
    Santa Maria, CA
    Santa Barbara, CA
    Camarillo, CA
    Oxnard, CA
    Santa Barbara, CA
    Santa Barbara, CA
    Thousand Oaks, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-08-31
S63 Uniform Securities Agent State Law Examination 2005-07-08
  • S66 Uniform Combined State Law Examination
    2010-08-31
  • S63 Uniform Securities Agent State Law Examination
    2005-07-08
Other Names
  • Julie Louise Kershaw

View on SEC IAPD

Other Firms

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CERITY PARTNERS LLC
J.P. MORGAN SECURITIES LLC
SAFEGUARD INVESTMENT ADVISORY GROUP, LLC
KINGSWOOD WEALTH ADVISORS, LLC
LPL FINANCIAL LLC
PLANMEMBER SECURITIES CORPORATION
RAYMOND JAMES & ASSOCIATES, INC.

Other Investors

DARIN CARLTON MAST
Eric Scott Wasmuth
CLAYTON ROBERT GIBSON
John Spruill
MONICA T WILLIAMS
Josh N Macaluso
Richard J Marcellin
Timothy Emmanuel Jou

Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SANTA BARBARA, CA
CERITY PARTNERS LLC · SANTA BARBARA, CA
CERITY PARTNERS LLC · SANTA BARBARA, CA
J.P. MORGAN SECURITIES LLC · SANTA BARBARA, CA
SAFEGUARD INVESTMENT ADVISORY GROUP, LLC · Santa Barbara, CA
KINGSWOOD WEALTH ADVISORS, LLC · Santa Barbara, CA
LPL FINANCIAL LLC · SANTA BARBARA, CA
PLANMEMBER SECURITIES CORPORATION · SANTA BARBARA, CA

More in Santa Barbara, CA

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