Yvonne 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.
Yvonne Smith, who also goes by Yvonne Christie, Christie Di Gloria, Yvonne Di Gloria, Christie Digloria, Yvonne C Smith, Yvonne Di Gloria Smith, was a registered financial professional .
Yvonne is a previously registered financial professional and started their career in finance in 1984. Yvonne had worked at 7 firms and has passed the Series 65, Series 63, Series 15, Series 3, Series 7, Series 24 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
July 17, 2008 - February 19, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 15, 2008 - February 19, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 24, 2000 - April 12, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 18, 2000 - April 12, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 31, 1999 - December 16, 1999
PRIME CAPITAL SERVICES, INC.
October 18, 1995 - September 3, 1999
CITICORP INVESTMENT SERVICES
October 30, 1989 - October 3, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 9, 1988 - November 7, 1989
KIDDER, PEABODY & CO. INCORPORATED
February 4, 1987 - December 21, 1988
RAYMOND JAMES & ASSOCIATES, INC.
February 15, 1985 - February 9, 1987
DREXEL BURNHAM LAMBERT INCORPORATED
July 26, 1984 - February 25, 1985
DONALD SHELDON & CO., INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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 15
Date: 3/26/1986
Foreign Currency Options ExaminationSeries 8
Date: 5/9/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
