Ryan M. Smith
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Ryan Michael Smith, who also goes by Michael Ryan Smith, was a registered financial professional .
Ryan is a previously registered financial professional and started their career in finance in 2002. Ryan had worked at 9 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 5, 2012 - January 3, 2014
MORGAN STANLEY
June 5, 2012 - January 3, 2014
MORGAN STANLEY
May 3, 2011 - May 14, 2012
KEY INVESTMENT SERVICES LLC
April 27, 2011 - May 14, 2012
KEY INVESTMENT SERVICES LLC
December 14, 2009 - March 25, 2010
FIFTH THIRD SECURITIES, INC.
December 14, 2009 - March 25, 2010
FIFTH THIRD SECURITIES, INC.
September 23, 2009 - December 4, 2009
PRUCO SECURITIES, LLC.
July 9, 2009 - December 4, 2009
PRUCO SECURITIES, LLC.
September 29, 2008 - May 11, 2009
LINCOLN FINANCIAL DISTRIBUTORS, INC.
December 20, 2006 - September 9, 2008
AUGUSTAR DISTRIBUTORS, INC.
November 2, 2004 - December 20, 2006
THE O.N. EQUITY SALES COMPANY
November 6, 2003 - December 31, 2003
OSAIC FA, INC.
November 6, 2003 - January 8, 2004
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
November 6, 2003 - January 8, 2004
OSAIC FA, INC.
July 26, 2002 - November 6, 2003
OSAIC FA, INC.
May 22, 2002 - November 6, 2003
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
May 22, 2002 - November 6, 2003
OSAIC FA, INC.
Primary Firm SEC Registration
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| CROWE, JOHN WILLIAM | CHIEF FINANCIAL OFFICER | 5475007 |
| FINN, JED | DIRECTOR, CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 5658048 |
| FLETCHER, PATRICIA KAY | TEXAS DESIGNATED PRINCIPAL | 1202060 |
| GALASSO, DAVID ANTHONY | PRINCIPAL OPERATIONS OFFICER | 1926502 |
| GIVENS, WILLIAM BENJAMIN | CHIEF COMPLIANCE OFFICER (BD ONLY) | 2790454 |
| HANSEN, TIMOTHY GERARD | CHIEF COMPLIANCE OFFICER (IA ONLY ) | 4956475 |
| HENNESSY, MICHAEL S | DIRECTOR | 1988660 |
| JANOVER, JAMES TROY | DIRECTOR | 2818307 |
| TURNER, CHAD EDWARD | DIRECTOR | 6009808 |
Regulatory assets under management
| Total Number of Accounts | 2,539,760 |
| AUM (Assets Under Management) | $ 1,650,015,946,338 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 115 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2025 | ||
| 07/23/2024 | ||
| 08/24/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
