Expert Review

Alistair Harding-Smith: Exposed to FINRA Charges or not? (New Update 2023)

Who is Alistair Harding-Smith (CRD#: 4698945)?

Alistair Harding-Smith is a principal partner and the lead investment strategist of Morgan Stanley’s Paragon HM Wealth Management Group in Birmingham, AL. He has more than 25 years of experience in the industry and has worked closely with endowments, corporate pension funds, government agencies, and a wide range of high-net-worth individuals.

Alistair, a Managing Director at Morgan Stanley, specializes in concisely communicating hard financial concepts in a way that clients can understand. He develops solid customer relationships by staying in touch with them regularly and keeping them up to date on current events and their financial implications.

This article will go further into Alistair Harding-Smith’s past, exposing hidden disclosures and analyzing the consequences of the lawsuits.

About Morgan Stanley Wealth Management:

Morgan Stanley Wealth Management, an American multinational financial services corporation, specializes in retail brokerage and asset management. As a division of Morgan Stanley, it serves a wide range of clients, from individual investors and small-to-mid-sized businesses to large corporations, non-profit organizations, and family foundations. With a strong history and a proven track record, Morgan Stanley Wealth Management has become a leading choice for those seeking expert financial advice and guidance.

Early Beginnings: Smith Barney & Co.

Morgan Stanley Wealth Management has its roots in the 1938 merger of Charles D. Barney & Co. and Edward B. Smith & Co., which formed Smith Barney & Co. Charles D. Barney & Co., founded by Charles D. Barney in 1873, was a New York and Philadelphia-based firm that emerged from the failure of its predecessor, Jay Cooke & Company. Edward B. Smith & Co., founded in 1892, became a significant player in securities underwriting in 1934 after absorbing the professionals from the securities business of Guaranty Trust Company, following the passage of the Glass-Steagall Act.

Morgan Stanley Wealth Management offers a comprehensive suite of financial services to cater to the diverse needs of its clients. Some of these services include:

Investment Management

Morgan Stanley Wealth Management provides many investment options, including stocks, bonds, mutual funds, exchange-traded funds (ETFs), and more. Their financial advisors help clients develop tailored investment strategies to meet their specific financial goals and risk tolerance levels.

Financial Planning

Financial planning services offered by Morgan Stanley Wealth Management include retirement planning, education planning, estate planning, and more. Their financial advisors work with clients to understand their financial objectives and develop a comprehensive financial plan to help them achieve those goals.

What is a Financial Advisor?

A financial advisor is a specialist who offers professional financial advice to people looking to accomplish particular financial goals. You work with a financial advisor to develop a thorough financial plan that is specific to your situation, much like you would hire an architect to construct the blueprint for your home. Understanding your existing financial condition, including your income, costs, savings, and spending patterns, is a requirement for this collaboration.

Banking and Lending

Morgan Stanley Wealth Management offers banking and lending solutions, such as cash management accounts, mortgages, home equity loans, and lines of credit to help clients manage their day-to-day financial needs and achieve their long-term financial goals.

Insurance and Annuities

To help clients protect their financial future, Morgan Stanley Wealth Management offers insurance and annuity products, including life insurance, long-term care insurance, and annuities, designed to provide financial stability and peace of mind.

Philanthropy and Social Impact Investing

Morgan Stanley Wealth Management offers philanthropic advisory services and social impact investing options for clients who want to align their investments with their values and make a positive impact on society.

18/12/2023 Update
As of now, Alistair Harding-Smith has not responded, nor has he apologized for his misdeeds. He has ignored our efforts to highlight the problems faced by his victims. Furthermore, he has only focused on propagating his fake PR.

Alistair Harding-Smith Disclosures: BrokerCheck, FINRA, And SEC

BrokerCheck report of Alistair Harding-Smith includes information such as employment history, professional qualification, disciplinary actions, criminal convictions, civil judgment, and arbitration awards as well as disclosure events.

There is no disclosure against Alistair Harding-Smith.

Financial Advisors often take down their client disputes from FINRA’s Public database through Disclosure Expungement. Even law firms provide expungement services to FAs so that they can hide or remove their client disputes and maintain a clean record. So the lack of any disclosures on BrokerCheck doesn’t necessarily mean that the broker hasn’t had any disputes in the past.

BrokerCheck

Source: ALISTAIR WILLIAM HARDING SMITH – Broker at MORGAN STANLEY (finra.org)

SEC Litigations & Forms

image 879

Source: Alistair Harding-Smith – SEC Site Search Search Results

Alistair Harding-Smith Lawsuits

The majority of court cases filed in the United States of America are archived on CourtListener, UniCourt, Law.com, Justia, Trellis, Law, and Law360. If Alistair Harding-Smith has been involved in any such lawsuits, the records can be found using the URLs below:

There might be more pending lawsuits against Alistair Harding-Smith that are not listed on these directories. Lawsuit files are often deleted from online directories. So if you cannot find any lawsuits against Alistair Harding-Smith on these websites, then you can contact the local authorities and check if they have a physical copy of any lawsuits.

Alistair Harding-Smith Complaints and Legal Battles

The following websites/directories are the best sources for finding complaints, litigations, and disputes against finance advisors. You can find all the complaints against Alistair Harding-Smith using the websites down below:

Better Alternatives To Alistair Harding-Smith:

These recommendations are based on the ratings of SmartAsset.com, the biggest financial advisor review platform on the internet.
Screenshot 7

Manages Assets Worth

  • $6,427,792,177

Services

  • Financial planning
  • Portfolio management
  • Selection of other advisors (including private fund managers)
  • Family office and consulting services
Screenshot 8

Manages Assets Worth

  • $4,465,757,285

Services

  • Financial planning
  • Portfolio management
  • Pension consulting
  • Selection of other advisors (including private fund managers)
Screenshot 9

Manages Assets Worth

  • $302,000,000

Services

  • Financial planning
  • Portfolio management

We will be happy to hear your thoughts

Leave a reply

Gripeo
Logo