Terry Wayne Swagerty

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

Authority	Category	Status	Date
TX	RA	APPROVED	2021-10-25

TX RA
APPROVED

Since 2021-10-25

Branch Locations

5001 Spring Valley Road Suite 900W, Dallas, TX 75244 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy Yes
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Morgan Stanley Smith Barney Llc	Dallas	TX	06/2015	Present

06/2015 → Present

Morgan Stanley Smith Barney Llc

Dallas, TX

Previous Registrations

2011-04-06 → 2014-09-12

First Trust Advisors Lp

Wheaton, IL

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2008-03-03
S63	Uniform Securities Agent State Law Examination	1994-12-05

S65 Uniform Investment Adviser Law Examination

2008-03-03
S63 Uniform Securities Agent State Law Examination

1994-12-05

View on SEC IAPD