JAMES E. FLOOD is an investment adviser representative (IAR) with state registration records since 2007, appearing at 2 firms. Currently registered with MORGAN STANLEY SMITH BARNEY LLC.
| Firm | From | To | Current |
|---|---|---|---|
| MORGAN STANLEY SMITH BARNEY LLC | 2021-06-22 | present | Yes |
| UBS FINANCIAL SERVICES INC. | 2007-02-26 | 2012-04-13 | — |