Linda M. Smiley
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Linda Marie Smiley was a registered financial professional .
Linda is a previously registered financial professional and started their career in finance in 1981. Linda had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 4, 1998 - June 29, 2016
KMS FINANCIAL SERVICES, INC.
September 18, 1996 - August 13, 1998
CITIGROUP GLOBAL MARKETS INC.
July 12, 1989 - August 23, 1996
IDS LIFE INSURANCE COMPANY
July 12, 1989 - August 23, 1996
AMERIPRISE FINANCIAL SERVICES, LLC
September 22, 1987 - February 7, 1989
FIRST AFFILIATED SECURITIES, INC.
December 14, 1983 - October 10, 1987
PRUDENTIAL EQUITY GROUP, LLC
September 4, 1981 - December 20, 1983
HINKLE & LAMEAR, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 7/6/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
KMS FINANCIAL SERVICES, INC.
CRD#: 3866 / SEC#: 801-11375, 8-15433
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHAREHOLDER | |
| BRETON, BERNARD ANDRE | CHIEF COMPLIANCE OFFICER | 2030660 |
| FORD, ERINN JUNE | PRESIDENT & CEO | 2176816 |
| HARRINGTON, LINDA LEE | VICE PRESIDENT OF ADVISORY COMPLIANCE | 4173014 |
| SIMS, JEFFREY SCOTT | CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3247374 |
| ZELLERHOFF, MARK CHRISTOPHER | SENIOR VICE PRESIDENT OF OPERATIONS | 2853977 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
| Bond | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
