Best Investors Account Sign in
Claim This Profile
Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2009-06-01
TX RA APPROVED_RES 2009-06-01
  • GA RA
    APPROVED
    Since 2009-06-01
  • TX RA
    APPROVED_RES
    Since 2009-06-01

Branch Locations

2400 Lakeview Parkway Suite 300, Alpharetta, GA 30009 • 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 No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Alpharetta GA 06/2009 Present
Morgan Stanley Private Bank, National Association New York NY 01/2015 Present
  • 06/2009 → Present
    Alpharetta, GA
  • 01/2015 → Present
    Morgan Stanley Private Bank, National Association
    New York, NY
Previous Registrations
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Alpharetta, GA
  • 2003-02-25 → 2007-04-02
    Morgan Stanley Dw Inc.
    Alpharetta, GA
    Alpharetta, GA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-01-30
S63 Uniform Securities Agent State Law Examination 1985-09-24
  • S65 Uniform Investment Adviser Law Examination
    1995-01-30
  • S63 Uniform Securities Agent State Law Examination
    1985-09-24
Other Names
  • Raymond Scott Smith

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Alpharetta, GA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor