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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

SUSAN SMITH HOLT

Advisor at MORGAN STANLEY

Richmond, TX | Houston, TX

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Search this name across graphsid dfx:ria:ac53d88d-d8cc-3ba1-1465-42d910cdff4c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:24 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jan 6, 2004 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MORGAN STANLEY
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 17, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 16derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Jan 17, 2002
First registration: Jan 6, 2004
Dual registered: yes, broker-dealer
Other names: SUSAN SMITH EDWARDS|SUSAN SMITH HUNDLEY|SUSAN ELAINE SMITH|SUSAN SMITH EDWARDS|SUSAN SMITH HOLT|SUSAN S HOLT
IAPD individual key: 3250410

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MORGAN STANLEY	Wirehouse	Mar 22, 2010	n/a	yes	Richmond, TX\|Houston, TX	Current employment
OPPENHEIMER & CO. INC.	Bd affiliated wealth	Oct 1, 2009	Mar 16, 2010	no	LOS ANGELES, CA	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Oct 7, 2009	no	BEVERLY HILLS, CA\|LOS ANGELES, CA	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Jun 1, 2009	no	BEVERLY HILLS, CA	Previous registration
MORGAN STANLEY DW INC.	n/a	Aug 26, 2004	Apr 2, 2007	no	BEVERLY HILLS, CA\|HOUSTON, TX\|HOUSTON, TX\|SUGARLAND, TX	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Jan 6, 2004	Sep 2, 2004	no	HOUSTON, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
OPPENHEIMER & CO. INC.	MORGAN STANLEY	Mar 16, 2010	Mar 22, 2010	6	Firm change	Other
MORGAN STANLEY	OPPENHEIMER & CO. INC.	Oct 7, 2009	Oct 1, 2009	-6	Firm change	Other
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY DW INC.	Sep 2, 2004	Aug 26, 2004	-7	Firm change	Other

Relationships

Registered with (5)

→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Oct 7, 2009factForm ADV
→ OPPENHEIMER & CO. INC.Registered adviserregistration: previous registration
Oct 1, 2009 to Mar 16, 2010factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Jun 1, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Aug 26, 2004 to Apr 2, 2007factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Jan 6, 2004 to Sep 2, 2004factForm ADV

Dated events

No dated event names this entity yet.