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Neill V Smith

Morgan Stanley

South Jordan, UT

Copperton, UT

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2019-05-15
NM RA APPROVED 2015-07-29
UT RA APPROVED 2012-06-06
  • TX RA
    APPROVED_RES
    Since 2019-05-15
  • NM RA
    APPROVED
    Since 2015-07-29
  • UT RA
    APPROVED
    Since 2012-06-06

Branch Locations

680 West 10000 South, South Jordan, UT 84095 • United States

Copperton, UT • 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 Fe NM 05/2012 Present
Previous Registrations
  • 2012-01-18 → 2012-05-15
    Td Ameritrade, Inc.
    Draper, UT
  • 2012-01-18 → 2012-05-15
    Td Ameritrade Investment Management, Llc
    Draper, UT
  • 2010-07-21 → 2011-08-12
    Osaic Fa, Inc.
    Salt Lake City, UT
  • 2010-02-01 → 2010-04-07
    Harrisdirect Llc
    Arlington, VA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-01-29
S63 Uniform Securities Agent State Law Examination 1991-01-08
  • S66 Uniform Combined State Law Examination
    2010-01-29
  • S63 Uniform Securities Agent State Law Examination
    1991-01-08
Other Names
  • Neill V Smith
  • Neill V Smith
  • Neill V Smith
  • Neill V Smith
  • Neill V Smith
  • Neill V Smith

View on SEC IAPD

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LPG CAPITAL MANAGEMENT · SOUTH JORDAN, UT
LPL FINANCIAL LLC · SOUTH JORDAN, UT
OSAIC WEALTH, INC. · SOUTH JORDAN, UT
PORTSIDE WEALTH GROUP, LLC · South Jordan, UT
DIVERGENT WEALTH ADVISORS, LLC · SOUTH JORDAN, UT
WEALTHSPIRE RETIREMENT ADVISORY · South Jordan, UT
D.A. DAVIDSON & CO. · SOUTH JORDAN, UT
WEALTHSPIRE RETIREMENT ADVISORY · South Jordan, UT

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