James Stewart 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

• 07/2010 → Present
  Morgan Stanley Smith Barney
  West Palm Beach, FL
• 01/2015 → Present
  Morgan Stanley Private Bank, National Association
  New York, NY

Previous Registrations

• 2005-05-23 → 2010-08-02
  Ubs Financial Services Inc.
  Boston, MA
  Boston, MA
• 2004-02-26 → 2005-04-21
  A. G. Edwards & Sons, Inc.
  Newton Lower Falls, MA

Other Businesses

1.BOSTON UNIVERSITY'S PROGRAM FOR FINANCIAL PLANNERS; TEACH A 2 DAY TIME VALUE OF MONEY COURSE; 1 AFTER BUSINESS HOURS; 0 DURING TRADING HOURS; 01/1993 2.James S Smith and Nora M Lynch JTWRS ; Investment related Yes; Dover, MA Rental Property; Owner (proprietor, partner, officer, director, employee, trustee, agent); May 2018; During business hours: 0; After business hours: 2 3.Sand Dollar Associates, LLC; Investment related Yes; Natick, MA; Rental Property; Private Company; 11/ 2000; During business hours: 0; After business hours: 2 *440458 - 5 Washington Street Sherborn, LLC; Investment related - Yes; Sherborn, Massachusetts; Real Estate; Officer (proprietor, partner, officer, director, employee, trustee, agent); 06/2021; During business hours: 0; After business hours: 2; Administrative *607228 - Delray Beach Club; Investment Related - No; Delray Beach, Florida; Private Social Club; Culture and Communications Committee (Proprietor, Partner, Officer, Director, Employee, Trustee, Agent); 07/2024; During Business Hours: 0; After Business Hours: 2; General review of communications strategies to members.

Exams

• S63 Uniform Securities Agent State Law Examination
  1987-05-26

Designations

• Certified Financial Planner