David 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

• 09/2008 → 10/2025
  Ubs Financial Services Inc.
  Chicago, IL
• 10/2025 → Present
  Morgan Stanley Smith Barney Llc
  Chicago, IL
• 11/2025 → Present
  Morgan Stanley Private Bank, N.A.
  New York, NY

Previous Registrations

• 2008-09-25 → 2025-10-20
  Ubs Financial Services Inc.
  Chicago, IL
  Chicago, IL
  Flossmoor, IL
• 2007-04-02 → 2008-10-06
  Morgan Stanley & Co. Llc
  Chicago, IL
• 1998-02-26 → 2007-04-02
  Morgan Stanley Dw Inc.
  Chicago, IL
  Chicago, IL

Other Businesses

(1) 667117 - Rental Property / Investment Related / Chicago, IL / Rental Property / Co-Owner with Brother-in-Law / Start 01-September-1995 / During business hours: 0 / After business hours: 10 / Property Management. *711446- D&J Holdings LLC; Investment related: Yes; Flossmoor, Illinois; LLC account that holds investments; Owner with my wife - Brokerage Account held at Morgan Stanley (proprietor, partner, officer, director, employee, trustee, agent); 11/2025; During business hours: 10; After business hours: 0; Administrative

Exams

• S65 Uniform Investment Adviser Law Examination
  1998-01-26
• S63 Uniform Securities Agent State Law Examination
  1983-09-07

Other Names

• David Smith
• David John Smith
• David J. Smith