Awards and Recognition

¹Forbes Best-In-State Wealth Advisors Source: Forbes.com (Awarded April 2024) Data compiled by SHOOK Research LLC for the period 6/30/22 - 6/30/23.

²Forbes America's Top Women Wealth Advisors Source: Forbes.com (Awarded Feb 2024) Data compiled by SHOOK Research LLC for the period 9/30/22 - 9/30/23.

³Forbes Top Women Wealth Advisors Best-In-State Source: Forbes.com (Awarded Feb 2024) Data compiled by SHOOK Research LLC for the period 9/30/22 - 9/30/23.

⁴Forbes America's Top Wealth Advisors Source: Forbes.com (Awarded April 2024) Data compiled by SHOOK Research LLC for the period 6/30/22 - 6/30/23.

⁵Forbes America’s Top Next-Gen Wealth Advisors Source: Forbes.com (Awarded Aug 2024) Data compiled by SHOOK Research LLC based on time period from 3/31/23 - 3/31/24.

⁶Forbes Top Next-Gen Wealth Advisors Best-in-State Source: Forbes.com (Awarded Aug 2024) Data compiled by SHOOK Research LLC for the period 3/31/23 - 3/31/24.

⁷Forbes America’s Top Wealth Management Teams Source: Forbes.com (Awarded Nov 2024) Data compiled by SHOOK Research LLC for the period 3/31/23 - 3/31/24.

⁸Barron's Top 1,200 Financial Advisors: State-by-State Source: barrons.com (Awarded Mar 2024) Data compiled by Barron's for the period Oct 2022 - Sept 2023.

⁹Barron's Top 100 Financial Advisors Source: barrons.com (Awarded May 2024) Data compiled by Barron's for the period Jan 2023 - Dec 2023.

¹⁰Barron's Top 100 Women Financial Advisors Source: barrons.com (Awarded July 2024) Data compiled by Barron's for the period Apr 2023 - Mar 2024.

¹¹Barron's Top 250 Private Wealth Management Teams Source: barrons.com (Awarded May 2024) Data compiled by Barron's for the period Jan 2023 - Dec 2023.

¹²Barron's Top 100 Institutional Consulting Teams Source: barrons.com (Awarded May 2024) Data compiled by Barron's for the period Jan 2023 - Dec 2023.

¹³In March 2024, NerdWallet recognized E*TRADE in their Best Online Brokers for Stock Trading2024 review. E*TRADE was recognized as a best online broker for frequent traders, beginner investors, research and data, and retirement planning assistance. In addition, NerdWallet gave E*TRADE an overall rating of 4.4 out of 5 stars. NerdWallet's ratings are determined by NerdWallet editorial team. The scoring formula for online brokers takes into account over 15 factors, including account fees and minimums, investment choices, customer support and mobile app capabilities. Read the 2024 E*TRADE Review.

¹⁴For the StockBrokers.com 2024 Annual Awards, all 17 U.S. equity brokers reviewed were assessed on over 200 different variables across eight areas: Commissions & Fees, Investment Options, Platforms & Tools, Research, Mobile Trading, Education, Ease of Use, and Overall. E*TRADE from Morgan was awarded the #1 Investor App, and #1 Web Trading Platform. In addition, E*TRADE received fifteen Best in Class distinctions: Overall Rating, Commissions & Fees, Research, Platforms & Tools, Investment Options, Mobile Trading Apps, Education, Bank Brokerage, Beginners, Futures Trading, IRA Accounts, Options Trading, Penny Stock Trading, High net Worth Investors, and Ease of Use. E*TRADE's star ratings for all category rankings out of 5: Overall (5.0 stars), Customer Service (4.0 stars), Commissions & Fees (4.5 stars), Research (5.0 stars), Platforms & Tools (4.5 stars), Mobile Trading Apps (5.0 stars), Investment Options (4.5 stars), Education (5.0 stars), and Ease of Use (5.0 stars). Read the 2024 Online Broker Review.

¹⁵In Kiplinger's annual Best Online Brokers Review of 10 firms across seven categories issued August 31, 2023, and based on evaluation conducted from August 26, 2022 – August 26,2023, E*TRADE from Morgan earned an overall score of 67.2 out of 100. E*TRADE’s ratings for all category rankings include: Research (#1), Overall (#2), Investment Choices (#3), Smartphone App (#3), Fees (#4), User Experience (#4), Tools (#5), and Advisory Services (#5). Read the full “Best Online Brokers and Trading Platforms 2023” survey. From Kiplinger's Personal Finance. © 2023 The Kiplinger Washington Editors. All rights reserved. Used under license.

¹⁶The 2023 Benzinga Global Fintech Awards were decided by a panel of expert judges and spanned a diverse range of fields, including cryptocurrency, brokerage services, investment platforms and educational tools, showcasing an array of novel investment strategies, advanced financial technologies and initiatives enhancing financial education and accessibility. Read the2023 Global Fintech Awards Review.

¹⁷Source: PLANADVISER.com, July 2022 – The “PLANADVISER’S 2022 Top 100 Retirement Plan Advisers” list is compiled from responses to the PLANADVISER Retirement Plan Adviser Survey. The list is drawn solely from a set of quantitative variables and information in the survey supplied by the advisers themselves. A sub-segment of the questions was used to determine eligibility for the Top 100. The rating is not indicative of the Financial Advisor's future performance. Neither Morgan Smith Barney LLC nor its Financial Advisors paid a fee to Plan Advisor in exchange for the rating.

¹⁸NAPA Net’s “Top Women Advisors of 2022,” October 20, 2022 as appearing in NAPA Net or www.Napa-Net.org, is based on nominations by the NAPA members. Nominees are asked to respond to a series of questions, both quantitative and qualitative, about their experience and practices. A panel of judges reviewed the anonymized questionnaires and selected the women honored in three categories: All Star, Captains, and Rising Stars. The rating is not indicative of the Financial Advisors’ future performance. Neither Morgan Smith Barney LLC or its Financial Advisors paid a fee to NAPA-Net in exchange for the rating.

¹⁹​Barron's.com (April 2023) Barron's Top 100 Institutional Consulting Teams ranking awarded in 2023. This ranking was determined based on an evaluation process conducted by Barron's during the period from Dec 2021 - Dec 2022. Neither Morgan Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. Rankings are based on the opinions of Barron's and this ranking may not be representative of any one client’s experience. This ranking is not indicative of the Financial Advisor’s future performance. Morgan Smith Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark of Dow Jones & Company, L.P. All rights reserved.

²⁰Source: Barron's.com (April 2023) Barron's Top 100 Financial Advisors awarded in 2023. This ranking was determined based on an evaluation process conducted by Barron's during the period from Dec 2021 - Dec 2022. Neither Morgan Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. Rankings are based on the opinions of Barron's and this ranking may not be representative of any one client’s experience. This ranking is not indicative of the Financial Advisor’s future performance. Morgan Smith Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark of Dow Jones & Company, L.P. All rights reserved.

²¹Barron's.com (June 2022) 2022 Barron's Top 100 Women Financial Advisors ranking awarded in 2022. This ranking was determined based on an evaluation process conducted by Barron's during the period from Mar 2021 - Mar 2022. Neither Morgan Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to Barron's to obtain or use the ranking. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. Rankings are based on the opinions of Barron's and this ranking may not be representative of any one client’s experience. This ranking is not indicative of the Financial Advisor’s future performance. Morgan Smith Barney LLC is not affiliated with Barron's. Barron’s is a registered trademark of Dow Jones & Company, L.P. All rights reserved.

²²Forbes.com (April 2023) 2023 Forbes Best-In-State Wealth Advisors rankings awarded in 2023. This ranking was determined based on an evaluation process conducted by SHOOK Research LLC (the research company) in partnership with Forbes (the publisher) during the period from 6/30/21 - 6/30/22. Neither Morgan Smith Barney LLC nor its Financial Advisors or Private Wealth Advisors paid a fee to SHOOK Research LLC to obtain or use the ranking. This ranking is based on in-person and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking algorithm that includes client retention, industry experience, review of compliance records, firm nominations, and quantitative criteria, including assets under management and revenue generated for their firms. Investment performance is not a criterion. Rankings are based on the opinions of SHOOK Research LLC and this ranking may not be representative of any one client’s experience. This ranking is not indicative of the Financial Advisor’s future performance. Morgan Smith Barney LLC is not affiliated with SHOOK Research LLC or Forbes. For more information, see www.SHOOKresearch.com.

²³Coalition Greenwich 2021 U.S. Institutional Investors Study (April 2022). The 2021 Greenwich Quality Leader in Overall U.S. Investment Consulting (Large Firms) designation was awarded to three firms and is based on the results of interviews conducted by Coalition Greenwich. Between July and October 2021, Coalition Greenwich interviewed 811 individuals from 661 of the largest tax-exempt funds in the United States, including corporate and union funds, public funds, and endowment and foundation funds, with either pension or investment pool assets greater than $150 million. The award is the product of numerical scores in Coalition Greenwich’s proprietary studies that are generated from the study interviews. In addition to study interviews, the award is based on other criteria including assets under management and industry experience. Investment performance is not a criterion because client objectives and risk tolerances vary, and advisors rarely have audited performance reports. Neither Morgan Smith Barney LLC nor Graystone Consulting pays a fee to Coalition Greenwich in exchange for the award; Graystone does not pay to have its clients participate in the study. The award is not indicative of participating firm’s nor their financial advisors’ past or future performance and may not be representative of any one client's experience because the results represent an average of all experiences of responding clients only. Coalition Greenwich is a division of CRISIL. Morgan is not affiliated with Coalition Greenwich.

²⁴Coalition Greenwich 2022 U.S. Institutional Investors Study (April 2023). The 2022 Greenwich Quality Leader in Overall U.S. Investment Consulting (Large Firms) designation was awarded to three firms and is based on the results of interviews conducted by Coalition Greenwich. Between February and November 2022, Coalition Greenwich interviewed 727 individuals from 590 of the largest tax-exempt funds in the United States, including corporate and union funds, public funds, and endowment and foundation funds, with either pension or investment pool assets greater than $150 million. The award is the product of numerical scores in Coalition Greenwich’s proprietary studies that are generated from the study interviews. In addition to study interviews, the award is based on other criteria including assets under management and industry experience. Investment performance is not a criterion because client objectives and risk tolerances vary, and advisors rarely have audited performance reports. Neither Morgan Smith Barney LLC nor Graystone Consulting pays a fee to Coalition Greenwich in exchange for the award; Graystone does not pay to have its clients participate in the study. The award is not indicative of participating firm’s nor their financial advisors’ past or future performance and may not be representative of any one client's experience because the results represent an average of all experiences of responding clients only. Coalition Greenwich is a division of CRISIL. Morgan is not affiliated with Coalition Greenwich.

²⁵2024 Euromoney Awards Source: Euromoney Magazine (Awarded July 2024)

²⁶MMI/Barron’s Industry Awards (Awarded 10/2023). Nominations were reviewed and evaluated between June 30, 2023 and July 28, 2023 by a specially appointed MMI Industry Awards Steering Council and the MMI Membership Experience Committee (MEC).

²⁷The Celent Model Wealth and Risk Manager 2024 Awards for Data and Analytics, Essential and Emerging Technologies, and Personalization, were granted to Morgan Smith Barney LLC (“Morgan”) following an evaluation process conducted by Celent analysts. To be considered for this award, Morgan submitted Model Wealth Manager and Model Risk Manager 2024 Nomination Award Worksheets to Celent on or about October 2023. Celent judged each submission on three criteria: (1) Measurable business benefits of live initiatives; (2) degree of innovation relative to the industry; and (3) technology or implementation excellence. In order to win, the initiatives must demonstrate clear business benefits, innovation, and technology or implementation excellence.

Celent does not receive compensation from the participating firms in exchange for the award and Morgan did not pay a fee to Celent in exchange for the award. Morgan is not affiliated with Celent. Based on their submission in October 2023 for Celent’s 2024 Model Awards program, Celent granted Morgan their awards in January 2024 and publicly shared the news in March 2024. Celent is a global financial services research and advisory firm and is responsible for determining the recipient of this award.

Morgan Smith Barney LLC is a registered broker-dealer, member SIPC, and not a bank.

Awards Disclosure

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Red Oak 3792245 (08/2024)