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Vincent Lumia

Director at Morgan Stanley Smith Barney

Investment adviser and broker registrationsSEC record checked 17 October 2026

27
Years in the industry
17
Years at the firm
1
Adviser firms
2
State registrations

IAPD record retrieved 17 October 2026SEC record

Vincent Lumia is Director of Morgan Stanley Smith Barney LLC, a Purchase investment adviser managing $1.96T. Vincent Lumia has been registered through Morgan Stanley Smith Barney since 1 June 2009, has 27 years in the industry across 1 firm and has passed 10 licensing exams.

Role at Morgan Stanley Smith Barney

Title on Schedule A
Director
Control
Vincent Lumia is a control person of Morgan Stanley Smith Barney.
Ownership
An individual ownership band is not available in the source record.
Tenure
Vincent Lumia has held the filed role since September 2026.

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

Vincent Lumia has been registered through Morgan Stanley Smith Barney since June 2009.

Firms and exams, newest first
  1. Passed Series 52TO · 2025
  2. Passed Series 79TO · 2023
  3. Morgan StanleyCurrent
    – present · 6 years
    , · Adviser representative · Firm CRD 149777
  4. Passed SIE · 2018
  5. Morgan StanleyCurrent
    – present · 17 years
    Cold Spring Harbor, NY · Adviser representative and broker · Firm CRD 149777
  6. Passed Series 24 and Series 53 · 2007
  7. Passed Series 7, Series 63, Series 65 and Series 31 · 1999
  8. Passed Series 62 · 1998

Registrations and exams

Vincent Lumia has a current investment-adviser registration in New York and Texas and has passed 10 qualifying exams.

New York16 June 2021
Scope
Investment adviser representative
Status
Approved
Texas15 May 2020
Scope
Investment adviser representative
Status
Approved, resident

Examinations

Series 6518 June 1999
Name
Uniform Investment Adviser Law Examination
Series 6319 January 1999
Name
Uniform Securities Agent State Law Examination
Series 5324 September 2007
Name
Municipal Securities Principal Examination
Series 2422 February 2007
Name
General Securities Principal Examination
Series 52TO25 September 2025
Name
Municipal Securities Representative Examination
Series 79TO2 January 2023
Name
Investment Banking Registered Representative Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 312 July 1999
Name
Futures Managed Funds Examination
Series 711 January 1999
Name
General Securities Representative Examination
Series 625 November 1998
Name
Corporate Securities Limited Representative Examination

Individual record

Full name
Vincent John Lumia
CRD
3147533
Firm
Morgan Stanley Smith Barney LLC
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 Vincent Lumia work?

Vincent Lumia has been Director of Morgan Stanley Smith Barney LLC since September 2026, and is a control person of the firm.

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

Is Vincent Lumia a financial advisor?

Yes. Vincent Lumia has a current investment-adviser registration in New York and Texas, through Morgan Stanley Smith Barney since June 2009, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

How many years of experience does Vincent Lumia have?

Vincent Lumia has worked in the financial industry for 27 years as of 17 October 2026, counted from 12 November 1998, across 1 adviser firm.

Source: IAPD individual record, checked 17 October 2026

What exams has Vincent Lumia passed?

Vincent Lumia has passed 10 licensing exams: the Series 62, Series 7, Series 63, Series 65, Series 31, Series 24, Series 53, SIE, Series 79TO and Series 52TO. The earliest, the Series 62, was passed in November 1998.

Source: IAPD individual record, checked 17 October 2026

Leadership at Morgan Stanley Smith Barney

Sources

  1. IAPD individual record, CRD 3147533. 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 Vincent Lumia 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.