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Helen A Smith

Morgan Stanley

Charlotte, NC

Washington, DC

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
DC RA APPROVED 2024-10-01
NC RA APPROVED 2024-08-23
TX RA APPROVED 2024-08-23
  • DC RA
    APPROVED
    Since 2024-10-01
  • NC RA
    APPROVED
    Since 2024-08-23
  • TX RA
    APPROVED
    Since 2024-08-23

Branch Locations

4064 Colony Road Suite 460, Charlotte, NC 28211 • United States

1747 Pennsylvania Ave Nw Suite 900, Washington, DC 20006 • 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 Charlotte NC 06/2009 03/2024
Morgan Stanley Smith Barney Llc Charlotte NC 08/2024 Present
Unemployed Charlotte NC 03/2024 08/2024
  • 06/2009 → 03/2024
    Morgan Stanley Smith Barney Llc
    Charlotte, NC
  • 08/2024 → Present
    Morgan Stanley Smith Barney Llc
    Charlotte, NC
  • 03/2024 → 08/2024
    Unemployed
    Charlotte, NC
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-09-10
S63 Uniform Securities Agent State Law Examination 2001-03-06
  • S65 Uniform Investment Adviser Law Examination
    2001-09-10
  • S63 Uniform Securities Agent State Law Examination
    2001-03-06
Other Names
  • Helen Ann Picciano
  • Helen Ann Smith

View on SEC IAPD

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Other Offices

FIRST TRYON ADVISORS · CHARLOTTE, NC
MUIRFIELD WEALTH ADVISORS LLC · CHARLOTTE, NC
MAI CAPITAL MANAGEMENT, LLC · Charlotte, NC
LPL FINANCIAL LLC · CHARLOTTE, NC
ARKADIOS WEALTH ADVISORS · Charlotte, NC
MODERA WEALTH MANAGEMENT, LLC · CHARLOTTE, NC
TLG ADVISORS, INC. · Charlotte, NC
LPL FINANCIAL LLC · CHARLOTTE, NC

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