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William Philip Smith

Morgan Stanley

Portland, ME

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-04-08
ME RA APPROVED 2009-06-01
  • TX RA
    APPROVED_RES
    Since 2020-04-08
  • ME RA
    APPROVED
    Since 2009-06-01

Branch Locations

100 Middle Street 3Rd Floor, Portland, ME 04101 • 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
Citigroup Global Markets Inc. Portland ME 02/2006 Present
Morgan Stanley Smith Barney Portland ME 06/2009 Present
Morgan Stanley Private Bank, National Association New York NY 01/2015 Present
  • 02/2006 → Present
    Citigroup Global Markets Inc.
    Portland, ME
  • 06/2009 → Present
    Morgan Stanley Smith Barney
    Portland, ME
  • 01/2015 → Present
    Morgan Stanley Private Bank, National Association
    New York, NY
Previous Registrations
  • 2006-02-21 → 2009-06-01
    Citigroup Global Markets Inc.
    Portland, ME
    Portland, ME
    Pottsville, PA
    Portland, ME
  • 2002-05-01 → 2006-02-21
    Legg Mason Wood Walker, Incorporated
    Pottsville, PA
    Portland, ME
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-12-14
S63 Uniform Securities Agent State Law Examination 1982-09-13
  • S65 Uniform Investment Adviser Law Examination
    1994-12-14
  • S63 Uniform Securities Agent State Law Examination
    1982-09-13

View on SEC IAPD

Other Firms

PORTLAND FINANCIAL PLANNING GROUP
J.P. MORGAN SECURITIES LLC
GREAT DIAMOND PARTNERS, LLC
HARBOR INVESTMENT ADVISORS
BIGELOW INVESTMENT ADVISORS, LLC
MASCOMA WEALTH MANAGEMENT
MAINE SECURITIES CORPORATION
PENOBSCOT FINANCIAL ADVISORS

Other Investors

BRIAN LUTHER DIETZ
William Emmet
JOHN MARSHALL PIPER
HELEN ELIZABETH ANDREOLI
WYATT ANDREOLI
STEPHEN DANIEL POULOS
JOSEPH WILLIAM POWERS
LISA SUSAN DEMERS

Other Offices

PORTLAND FINANCIAL PLANNING GROUP · PORTLAND, ME
PORTLAND FINANCIAL PLANNING GROUP · PORTLAND, ME
J.P. MORGAN SECURITIES LLC · Portland, ME
GREAT DIAMOND PARTNERS, LLC · PORTLAND, ME
HARBOR INVESTMENT ADVISORS · PORTLAND, ME
BIGELOW INVESTMENT ADVISORS, LLC · PORTLAND, ME
BIGELOW INVESTMENT ADVISORS, LLC · Portland, ME
MASCOMA WEALTH MANAGEMENT · Portland, ME

More in Portland, ME

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