Morgan Smith, financial advisor Houston TX
93 score

Morgan Smith

CRD Number: 3021809
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

Morgan Smith (CRD# 3021809) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Houston, TX and has over 17 years of experience in the finance industry.

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Company Name Location Dates Years
Merrill Lynch, Pierce, Fenner & Smith Incorporated Stafford, TX May 1997 - Current 19
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination May 1999
S66 NASAA Uniform Combined State Law Examination Jun 2011
Contact Info for Morgan L. Smith
Phone Number: 800-637-7455
Registered State(s):
  • TX
By the Numbers
  • Total Assets Under Management
    575,342
    MILLIONS
  • Total Number of Accounts
    1,715,259
    ACCOUNTS
  • Average Account Value
    $335,425
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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