John D. Smith
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.
John David Smith was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1982. John had worked at 5 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 1988 - January 11, 1989
POWER SECURITIES CORPORATION
September 24, 1984 - June 8, 1988
BLINDER, ROBINSON & CO., INC.
September 23, 1983 - April 2, 1984
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
September 23, 1983 - April 2, 1984
EQUITABLE ADVISORS, LLC
August 20, 1982 - July 28, 1983
AMERIPRISE FINANCIAL SERVICES, LLC
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
Current Firm
POWER SECURITIES CORPORATION
CRD#: 15527 / SEC#: , 8-33326
Contact information
Documents
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.
