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James Janover

Director at Morgan Stanley Smith Barney

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

0
Past adviser firms
5
Licensing exams

IAPD record retrieved 17 October 2026SEC record

James Janover is Director of Morgan Stanley Smith Barney LLC, a Purchase investment adviser managing $1.96T. James Janover has a current broker registration and no current investment-adviser registration and has passed 5 licensing exams.

Role at Morgan Stanley Smith Barney

Title on Schedule A
Director
Control
James Janover is a control person of Morgan Stanley Smith Barney.
Ownership
An individual ownership band is not available in the source record.
Tenure
James Janover has held the filed role since February 2016.

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 79TO · 2023
  2. Passed SIE · 2018
  3. Passed Series 63 and Series 24 · 2001
  4. Passed Series 7 · 1997

Registrations and exams

Broker registration; no current adviser registration. James Janover has passed 5 qualifying exams.

Examinations

Series 6320 September 2001
Name
Uniform Securities Agent State Law Examination
Series 249 October 2001
Name
General Securities Principal Examination
Series 79TO2 January 2023
Name
Investment Banking Registered Representative Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 728 April 1997
Name
General Securities Representative Examination

Individual record

Full name
James T Janover
CRD
2818307
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 James Janover work?

James Janover has been Director of Morgan Stanley Smith Barney LLC since February 2016, and is a control person of the firm.

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

Does James Janover have a current investment-adviser registration?

James Janover 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 James Janover passed?

James Janover has passed 5 licensing exams: the Series 7, Series 63, Series 24, SIE and Series 79TO. The earliest, the Series 7, was passed in April 1997.

Source: IAPD individual record, checked 17 October 2026

Leadership at Morgan Stanley Smith Barney

Sources

  1. IAPD individual record, CRD 2818307. 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 James Janover 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.