Jay G. 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.
Jay Gordon Smith was a registered financial professional .
Jay is a previously registered financial professional and started their career in finance in 1985. Jay had worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2020 - April 6, 2021
GETTINGS BUSCH WEALTH MANAGEMENT
February 17, 2017 - October 10, 2019
CREATIVE FINANCIAL DESIGNS, INC.
November 12, 2013 - February 23, 2017
MBAH INSURANCE
October 9, 1986 - July 18, 1990
TOWER SQUARE SECURITIES, INC.
April 23, 1985 - June 26, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
GETTINGS BUSCH WEALTH MANAGEMENT
CRD#: 306757 / SEC#: 801-117868
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
GETTINGS BUSCH WEALTH MANAGEMENT
CRD#: 306757 / SEC#: 801-117868
Contact information
SEC notice filing (13 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,981 |
| AUM (Assets Under Management) | $ 541,469,419 |
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.
