Niva WealthLet’s talk

William Givens

Chief Compliance Officer (BD Only) at Morgan Stanley Smith Barney

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

0
Past adviser firms
9
Licensing exams

IAPD record retrieved 17 October 2026SEC record

William Givens is Chief Compliance Officer (BD Only) of Morgan Stanley Smith Barney LLC, a Purchase investment adviser managing $1.96T. William Givens has a current broker registration and no current investment-adviser registration and has passed 9 licensing exams.

Role at Morgan Stanley Smith Barney

Title on Schedule A
Chief Compliance Officer (BD Only)
Control
William Givens is a control person of Morgan Stanley Smith Barney.
Ownership
An individual ownership band is not available in the source record.
Tenure
William Givens has held the filed role since July 2024.

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 14, Series 10, Series 52TO and Series 79TO · 2023
  2. Passed SIE · 2018
  3. Passed Series 53 · 2000
  4. Passed Series 24 · 1998
  5. Passed Series 63 and Series 7 · 1996

Registrations and exams

Broker registration; no current adviser registration. William Givens has passed 9 qualifying exams.

Examinations

Series 6325 July 1996
Name
Uniform Securities Agent State Law Examination
Series 142 January 2023
Name
Compliance Officer Examination
Series 102 January 2023
Name
General Securities Sales Supervisor - General Module Examination
Series 5329 February 2000
Name
Municipal Securities Principal Examination
Series 2419 February 1998
Name
General Securities Principal Examination
Series 52TO2 January 2023
Name
Municipal Securities Representative Examination
Series 79TO2 January 2023
Name
Investment Banking Registered Representative Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 718 December 1996
Name
General Securities Representative Examination

Individual record

Full name
William Benjamin Givens
CRD
2790454
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 William Givens work?

William Givens has been Chief Compliance Officer (BD Only) of Morgan Stanley Smith Barney LLC since July 2024, and is a control person of the firm.

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

Does William Givens have a current investment-adviser registration?

William Givens 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 William Givens passed?

William Givens has passed 9 licensing exams: the Series 63, Series 7, Series 24, Series 53, SIE, Series 14, Series 10, Series 52TO and Series 79TO. The earliest, the Series 63, was passed in July 1996.

Source: IAPD individual record, checked 17 October 2026

Leadership at Morgan Stanley Smith Barney

Sources

  1. IAPD individual record, CRD 2790454. 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 William Givens 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.