Christine C. 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.
Christine Carr Smith, who also goes by Christine M Carr, Christine Marie Carr, Christine Marie Smith, Christine Marie Waldron, Christine Waldron, was a registered financial professional .
Christine is a previously registered financial professional and started their career in finance in 1988. Christine had worked at 8 firms and has passed the Series 63, SIE, Series 55, Series 3, Series 7, Series 10, Series 9, 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
December 18, 2020 - October 7, 2022
FORESIDE FINANCIAL SERVICES, LLC
July 26, 2013 - December 31, 2019
EATON VANCE DISTRIBUTORS, INC.
July 2, 2007 - June 5, 2013
BNY MELLON SECURITIES CORPORATION
January 27, 2003 - July 2, 2007
MBSC, LLC
July 25, 1996 - February 24, 2003
BNY MELLON SECURITIES CORPORATION
December 20, 1993 - May 17, 1996
J.P. MORGAN CLEARING CORP.
September 20, 1993 - May 17, 1996
J.P. MORGAN SECURITIES LLC
August 23, 1988 - October 5, 1993
MORGAN STANLEY & CO. LLC
February 23, 1988 - August 30, 1988
CLAYTON BROWN & 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
Series 55
Date: 8/6/2001
Limited Representative-Equity Trader ExamSeries 8
Date: 12/2/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FORESIDE FINANCIAL SERVICES, LLC
CRD#: 148477 / SEC#: , 8-68027
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | DIRECTOR OWNER/SOLE MEMBER | |
| BRUNNER, JENNIFER ANNE | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 1137783 |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
Red Flags
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