Otha D Smith

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 11/2014 → 08/2019
  Lincoln Financial Distributors
  Chicago, IL
• 04/2011 → 09/2020
  3 Guys In A Booth, Llc
  Chicago, IL
• 07/2017 → 09/2020
  Tuk Tuk Chicago
  Chicago, IL
• 04/2020 → 09/2020
  Covr Financial Technologies
  Boise, ID
• 04/2020 → 09/2020
  The Leaders Group, Inc.
  Littleton, CO
• 05/2017 → 09/2020
  Six Omega
  Chicago, IL
• 09/2020 → Present
  Morgan Stanley
  Plano, TX
• 11/2020 → Present
  Morgan Stanley Private Bank, N.A
  New York, NY

Previous Registrations

• 2009-06-01 → 2014-11-06
  Morgan Stanley
  Purchase, NY
• 2007-04-02 → 2009-06-01
  Morgan Stanley & Co. Llc
  Purchase, NY
• 2003-02-26 → 2007-04-02
  Morgan Stanley Dw Inc.
  Purchase, NY
  New York, NY

Other Businesses

1.) SIX OMEGA - 5/16/2007 - 501 N Wells, #3W, Chicago, IL 60654 - Author/Publisher, Writing and publishing, Not Invt Rel, Book publishing & consultation, 0 hrs/mo; 0 hrs/mo (during trading hours). 2.) 3 GUYS IN A BOOTH, LLC - 4/25/2011 - 501 N Wells, #3W, Chicago, IL 60654 - Executive Producer, Consultation and show running, Not Invt Rel, TV & Web Series Production, 1 hr/mo; 0 hrs/mo (during trading hours). 3.) TUK TUK CHICAGO - 7/22/2017 - 501 N Wells, #3W, Chicago, IL 60654 - Principal, Consultant, Not Invt Rel, Tour Shuttles and Transportation Services, 15 hrs/mo; 0 hrs/mo (during trading hours).

Exams

• S65 Uniform Investment Adviser Law Examination
  2003-01-08
• S63 Uniform Securities Agent State Law Examination
  1996-06-28

Other Names

• Otha Dell Smith