Role at Morgan Stanley Smith Barney
- Title on Schedule A
- Texas Designated Principal
- Control
- Patricia Fletcher is not a control person of Morgan Stanley Smith Barney.
- Ownership
- An individual ownership band is not available in the source record.
- Tenure
- Patricia Fletcher has held the filed role since October 2023.
The firm
Form ADV filed 28 September 2026
Career on record
Patricia Fletcher has been registered through Morgan Stanley Smith Barney since June 2009, and before that through Citigroup Global Markets Inc..
- Passed Series 10 and Series 9 · 2023
- Passed SIE · 2018
- Morgan StanleyCurrent– present · 17 yearsWoodinville, WA · Adviser representative and broker · Firm CRD 149777
- Citigroup Global Markets Inc.– · 7 yearsBellevue, WA · Adviser representative · Firm CRD 7059
- Passed Series 65 · 1994
- Passed Series 3 · 1993
- Passed Series 8 · 1986
- Passed Series 7 and Series 63 · 1983
Registrations and exams
Patricia Fletcher has a current investment-adviser registration in Texas and Washington and has passed 8 qualifying exams.
| State | Scope | Status | Since |
|---|---|---|---|
| Texas | Investment adviser representative | Approved, resident | 2 June 2022 |
| Washington | Investment adviser representative | Approved | 1 June 2009 |
- Scope
- Investment adviser representative
- Status
- Approved, resident
- Scope
- Investment adviser representative
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 5 November 1994 |
| Series 63 | Uniform Securities Agent State Law Examination | 5 November 1983 |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 2 January 2023 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 2 January 2023 |
| Series 8 | General Securities Sales Supervisor Examination (Options Module & General Module) | 13 May 1986 |
| SIE | Securities Industry Essentials Examination | 1 October 2018 |
| Series 3 | National Commodity Futures Examination | 21 April 1993 |
| Series 7 | General Securities Representative Examination | 15 October 1983 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- General Securities Sales Supervisor Examination (Options Module & General Module)
- Name
- Securities Industry Essentials Examination
- Name
- National Commodity Futures Examination
- Name
- General Securities Representative Examination
Individual record
- Full name
- Patricia Kay Fletcher
- CRD
- 1202060
- Registration status
- Investment adviser and broker registrations
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 Patricia Fletcher work?
Patricia Fletcher has been Texas Designated Principal of Morgan Stanley Smith Barney LLC since October 2023.
Is Patricia Fletcher a financial advisor?
Yes. Patricia Fletcher has a current investment-adviser registration in Texas and Washington, through Morgan Stanley Smith Barney since June 2009, as of 17 October 2026.
How many years of experience does Patricia Fletcher have?
Patricia Fletcher has worked in the financial industry for 42 years as of 17 October 2026, counted from 19 October 1983, across 2 adviser firms.
What exams has Patricia Fletcher passed?
Patricia Fletcher has passed 8 licensing exams: the Series 7, Series 63, Series 8, Series 3, Series 65, SIE, Series 10 and Series 9. The earliest, the Series 7, was passed in October 1983.
Where did Patricia Fletcher work before Morgan Stanley Smith Barney?
Before Morgan Stanley Smith Barney, Patricia Fletcher was registered through Citigroup Global Markets Inc., March 2002 to June 2009.
Leadership at Morgan Stanley Smith Barney
- Jed FinnDirector, Chairman, President and Chief Executive Officer
- John William CroweChief Financial Officer
- William Benjamin GivensChief Compliance Officer (BD Only)
- Timothy Gerard HansenChief Compliance Officer (ia Only )
- David Anthony GalassoPrincipal Operations Officer
- Michael S HennessyDirector
- James Troy JanoverDirector
- Vincent John LumiaDirector
- Chad Edward TurnerDirector