Charlotte I. 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.
Charlotte Irene Smith, who also goes by Charlotte Smith, was a registered financial professional .
Charlotte is a previously registered financial professional and started their career in finance in 1987. Charlotte had worked at 9 firms and has passed the Series 63, SIE 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
April 19, 2007 - January 3, 2018
INVESTMENT ADVISORS CORP
April 19, 2007 - January 3, 2018
BROKER DEALER FINANCIAL SERVICES CORP.
October 1, 2003 - February 23, 2007
AMERITAS INVESTMENT COMPANY, LLC
July 23, 2001 - February 23, 2007
AMERITAS INVESTMENT COMPANY, LLC
October 20, 2000 - July 18, 2001
STANTON INVESTMENT SERVICES, INC.
July 21, 1997 - November 2, 1998
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
February 7, 1994 - July 16, 1997
MARINER FINANCIAL SERVICES, INC.
October 5, 1992 - December 7, 1993
CUNA BROKERAGE SERVICES, INC.
August 18, 1988 - September 11, 1992
IAC SECURITIES, INC.
July 21, 1987 - August 20, 1988
JOHN DAWSON & ASSOCIATES, 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
Current Firm
INVESTMENT ADVISORS CORP
CRD#: 117531 / SEC#: 801-69573
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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