James E Smyth
Investment adviser representative at Morgan Stanley
12 yearsExperience
2 statesRegistered in
$2TFirm assets
17 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsFixed or flat feeCommissionsPerformance-basedOther
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
12 years in the industry.
- Morgan StanleyApr 2025 to now
- Morgan Stanley Smith Barney LLCMar 2022 to now
- Morgan Stanley & Co. LLCOct 2021 to Mar 2022
- Pershing LLCMay 2018 to Sep 2021
- UnemployedJan 2018 to Apr 2018
- Fordham University Graduate School of Arts and SciencesAug 2017 to Dec 2017
- Cowen Execution Services LLCJun 2017 to Jun 2017
- ConvergexJan 2017 to Jun 2017
- Cantor Fitzgerald & Co.Aug 2014 to Jan 2017
Exams passed
- Series 63 · Uniform Securities Agent State Law2014
- Series 66 · Uniform Combined State Law2025
State registrations
Registered as an investment adviser representative in 2 states (NY, TX).
Morgan Stanley
Legal name: Morgan Stanley Smith Barney LLC
$2TAssets managed
2,703,720Clients
23,165Advisers
17 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 5816711
- Firm CRD
- 149777