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AS

Anders D. Smith

CLARENDON INSURANCE AGENCY
Waltham, MA 02451
Some features on this profile are disabled
CRD#: 1554858
AS

Professional summary

Anders Downey Smith, CFP®, CIMA®, CPWA® is a registered financial professional currently at CLARENDON INSURANCE AGENCY, INC. located in Waltham, Massachusetts.

Anders is registered as a RR (Registered Representative) and started their career in finance in 1986. Anders has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Anders Downey Smith's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

CIMA®

Certified Investment Management Analyst

CPWA®

Certified Private Wealth Advisor

Start date: 2008-04-29

Expire date: 2023-10-31

Experience

Current

September 5, 2018 - Present

CLARENDON INSURANCE AGENCY, INC.

Office #1: 230 3rd Ave 6th Floor, Waltham, MA 02451
BD
CRD#: 7395
Waltham, MA
Past

September 19, 2017 - August 27, 2018

ORION PORTFOLIO SOLUTIONS, LLC

RIA
CRD#: 107975
GLEN ELLYN, IL
Past

September 19, 2017 - August 27, 2018

NORTHERN LIGHTS DISTRIBUTORS, LLC

BD
CRD#: 126159
ELKHORN, NE
Past

October 14, 2003 - August 1, 2017

NUVEEN SECURITIES, LLC

BD
CRD#: 469
CHICAGO, IL
Past

December 6, 1994 - September 15, 2003

MFS FUND DISTRIBUTORS, INC.

BD
CRD#: 31052
BOSTON, MA
Past

May 28, 1987 - December 31, 1994

MFS FINANCIAL SERVICES, INC.

BD
CRD#: 18309
BOSTON, MA
Past

September 9, 1986 - December 22, 1986

FORESTERS FINANCIAL SERVICES, INC.

BD
CRD#: 305

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(3/30/2019)
RR
Alaska
(3/30/2019)
RR
Arizona
(3/30/2019)
RR
Arkansas
(7/15/2019)
RR
California
(3/30/2019)
RR
Colorado
(3/30/2019)
RR
Connecticut
(3/30/2019)
RR
Delaware
(5/6/2019)
RR
District of Columbia
(5/13/2019)
RR
Georgia
(8/23/2019)
RR
Hawaii
(5/3/2019)
RR
Idaho
(3/30/2019)
RR
Illinois
(3/30/2019)
RR
Indiana
(3/30/2019)
RR
Iowa
(9/5/2018)
RR
Kansas
(4/12/2019)
RR
Kentucky
(3/30/2019)
RR
Louisiana
(3/30/2019)
RR
Maine
(6/21/2019)
RR
Maryland
(3/30/2019)
RR
Massachusetts
(9/5/2018)
RR
Michigan
(3/30/2019)
RR
Minnesota
(9/5/2018)
RR
Mississippi
(3/30/2019)
RR
Missouri
(4/10/2019)
RR
Montana
(9/5/2018)
RR
Nebraska
(3/30/2019)
RR
Nevada
(9/5/2018)
RR
New Mexico
(4/12/2019)
RR
New York
(9/5/2018)
RR
North Carolina
(3/30/2019)
RR
North Dakota
(9/5/2018)
RR
Ohio
(4/1/2019)
RR
Oklahoma
(3/30/2019)
RR
Oregon
(9/5/2018)
RR
Pennsylvania
(3/30/2019)
RR
Rhode Island
(3/30/2019)
RR
South Carolina
(4/17/2019)
RR
South Dakota
(3/30/2019)
RR
Tennessee
(3/30/2019)
RR
Texas
(3/30/2019)
RR
Utah
(9/5/2018)
RR
Vermont
(4/2/2019)
RR
Virginia
(3/30/2019)
RR
Washington
(5/14/2019)
RR
West Virginia
(4/9/2019)
RR
Wisconsin
(3/30/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 9/15/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/24/2008
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/8/1986
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 9/23/2020
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CI
CLARENDON INSURANCE AGENCY, INC.
CLARENDON INSURANCE AGENCY, INC. | GEORGE E. MADEN | EMAC TRADING LLC

CRD#: 7395 / SEC#: , 8-21590

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
230 3rd Ave 6th Floor, Waltham, MA 02451
Mailing Address
230 3rd Ave 6th Floor, Waltham, MA 02451
Phone number
(781) 790-8600
Established
Massachusetts since 03/04/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (50 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
DELAWARE LIFE INSURANCE COMPANYSOLE SHAREHOLDER
BLOOM, MICHAEL SCOTTDIRECTOR & SECRETARY5200070
CAREY, ELIZABETHCHIEF COMPLIANCE OFFICER4889080
JOSEPH, JAMESFINANCIAL AND OPERATIONS PRINCIPAL6576566
LAKE, COLIN CPRESIDENT AND DIRECTOR2717313
WANG, FANG LINDADIRECTOR7675208

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.

Company Information

CLARENDON INSURANCE AGENCY, INC.

CRD#: 7395Waltham, MA 02451

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