Eric J. 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.
Eric John Smith was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1983. Eric had worked at 14 firms and has passed the Series 65, Series 63, Series 79TO, Series 52TO, Series 99TO, Series 57TO, SIE, Series 7, Series 10, Series 9, Series 12, Series 14, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 28, 2022 - December 1, 2023
ZINVEST FINANCIAL SERVICE, LLC
November 30, 2021 - July 31, 2024
VELOX CLEARING LLC
June 9, 2017 - February 16, 2021
WEDBUSH SECURITIES INC.
June 9, 2017 - February 16, 2021
WEDBUSH SECURITIES INC.
August 25, 2015 - January 18, 2017
FORGE SECURITIES LLC
November 29, 2012 - January 6, 2015
PROTECTED INVESTORS OF AMERICA
January 4, 2012 - January 6, 2015
PROTECTED INVESTORS OF AMERICA
December 2, 2010 - December 5, 2012
DEUTSCHE BANK SECURITIES INC.
December 2, 2010 - December 5, 2012
DEUTSCHE BANK SECURITIES INC.
October 29, 2009 - November 26, 2010
STONNINGTON GROUP, LLC
October 29, 2009 - November 26, 2010
STONNINGTON GROUP, LLC
December 15, 2008 - October 28, 2009
SAGETRADER, LLC
May 13, 2008 - October 28, 2009
SAGETRADER, LLC
May 19, 2006 - December 18, 2006
SAGETRADER, LLC
March 11, 2005 - November 7, 2005
S & Y ASSET MANAGEMENT LLC
February 1, 2005 - November 7, 2005
S & Y ASSET MANAGEMENT LLC
January 28, 2005 - November 7, 2005
STONE & YOUNGBERG LLC
January 28, 2005 - November 7, 2005
STONE & YOUNGBERG LLC
July 2, 2002 - January 28, 2005
RBC CAPITAL MARKETS, LLC
March 9, 2002 - January 28, 2005
RBC CAPITAL MARKETS, LLC
October 13, 1997 - March 9, 2002
SUTRO & CO. INCORPORATED
April 12, 1993 - October 7, 1997
PREFERREDTRADE, INC.
December 21, 1983 - December 9, 1992
INTERFIRST CAPITAL CORPORATION
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/24/2022
Securities Trader ExamSeries 12
Date: 12/4/1996
NYSE Branch Manager ExaminationCurrent Firm
ZINVEST FINANCIAL SERVICE, LLC
CRD#: 297563 / SEC#: 801-117145, 8-70951
Contact information
FINRA licenses (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 924 |
| AUM (Assets Under Management) | $ 23,543,616 |
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.
