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David Galasso

Principal Operations Officer at Morgan Stanley Smith Barney

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
6
Licensing exams

IAPD record retrieved 17 October 2026SEC record

David Galasso is Principal Operations Officer of Morgan Stanley Smith Barney LLC, a Purchase investment adviser managing $1.96T. David Galasso has a current broker registration and no current investment-adviser registration and has passed 6 licensing exams.

Role at Morgan Stanley Smith Barney

Title on Schedule A
Principal Operations Officer
Control
David Galasso is a control person of Morgan Stanley Smith Barney.
Ownership
An individual ownership band is not available in the source record.
Tenure
David Galasso has held the filed role since July 2019.

The firm

Morgan Stanley Smith Barney LLC
Purchase, NY

Form ADV filed 28 September 2026

$1.96T AUM2,703,720 clients13,000 advisers26 offices

Career on record

Firms and exams, newest first
  1. Passed Series 99TO · 2023
  2. Passed SIE · 2018
  3. Passed Series 27 · 2007
  4. Passed Series 24 · 2005
  5. Passed Series 7 and Series 63 · 1989

Registrations and exams

Broker registration; no current adviser registration. David Galasso has passed 6 qualifying exams.

Examinations

Series 6329 November 1989
Name
Uniform Securities Agent State Law Examination
Series 277 February 2007
Name
Financial and Operations Principal Examination
Series 2420 September 2005
Name
General Securities Principal Examination
Series 99TO2 January 2023
Name
Operations Professional Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 718 November 1989
Name
General Securities Representative Examination

Individual record

Full name
David A Galasso
CRD
1926502
Firm
Morgan Stanley Smith Barney LLC
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does David Galasso work?

David Galasso has been Principal Operations Officer of Morgan Stanley Smith Barney LLC since July 2019, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 28 September 2026

Does David Galasso have a current investment-adviser registration?

David Galasso has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has David Galasso passed?

David Galasso has passed 6 licensing exams: the Series 7, Series 63, Series 24, Series 27, SIE and Series 99TO. The earliest, the Series 7, was passed in November 1989.

Source: IAPD individual record, checked 17 October 2026

Leadership at Morgan Stanley Smith Barney

Sources

  1. IAPD individual record, CRD 1926502. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Morgan Stanley Smith Barney LLC, filed 28 September 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with David Galasso or Morgan Stanley Smith Barney LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.