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Matthew Swaffin-Smith

Morgan Stanley

San Francisco, CA

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2017-09-15
CA RA APPROVED 2016-07-26
  • TX RA
    APPROVED
    Since 2017-09-15
  • CA RA
    APPROVED
    Since 2016-07-26

Branch Locations

555 California Street 35Th Floor, San Francisco, CA 94104 • 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 San Francisco CA 07/2016 Present
Morgan Stanley Private Bank, N.A. New York NY 07/2016 Present
  • 07/2016 → Present
    Morgan Stanley Smith Barney Llc
    San Francisco, CA
  • 07/2016 → Present
    Morgan Stanley Private Bank, N.A.
    New York, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-07-26
S63 Uniform Securities Agent State Law Examination 2005-12-21
  • S66 Uniform Combined State Law Examination
    2016-07-26
  • S63 Uniform Securities Agent State Law Examination
    2005-12-21
Other Names
  • Matthew Swaffin-Smith
  • Matthew Swaffin Smith

View on SEC IAPD

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Other Offices

FORT POINT CAPITAL PARTNERS LLC · SAN FRANCISCO, CA
DIVISAR CAPITAL MANAGEMENT, LLC · SAN FRANCISCO, CA
CHARLES SCHWAB & CO., INC. · San Francisco, CA
1SHARPE CAPITAL LLC · SAN FRANCISCO, CA
RBC SECURITIES, INC · SAN FRANCISCO, CA
STRATEGIC ADVISERS LLC · SAN FRANCISCO, CA
VALEAS CAPITAL PARTNERS · SAN FRANCISCO, CA
ZENTARA EXCHANGE LTD · SAN FRANCISCO, CA

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