Lynne Carole Smith
Professional Summary
Lynne Carole Smith, who also goes by Lynne C Shapiro, Lynne Shapiro, Lynne C Shapiro Smith, Lynne Carole Shapiro Smith, Lynne C Shapiro-smith, Lynne Carole Shapirostaiger, Lynne Carole Staiger, was a registered financial advisor. Lynne was a previously registered financial professional and started their career in finance 1988 - 2025. Lynne had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Lynne C Shapiro, Lynne Shapiro, Lynne C Shapiro Smith, Lynne Carole Shapiro Smith, Lynne C Shapiro-Smith, Lynne Carole Shapirostaiger, Lynne Carole Staiger
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
37 years in the financial services industry
Current & Past Employments
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Current Firm
ICMA - RC SERVICES, INC. | MISSIONSQUARE WEALTH MANAGEMENT | MISSIONSQUARE INVESTMENT SERVICES | ICMA-RC SERVICES, LLC
Contact Information
Main Address
777 North Capitol Street, Ne Suite 600, Washington, DC 20002Mailing Address
777 North Capitol Street, Ne Suite 600, Washington, DC 20002-4240Phone Number
(202) 962-4600Established
Delaware since 12/31/1998Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Medium# of Employees
208SEC notice filing (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
FINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INTERNATIONAL CITY MANAGEMENT ASSOCIATION RETIREMENT CORPORATION D/B/A MISSIONSQUARE RETIREMENT | MEMBER/OWNER | — |
| HOGENDORN, SHANNON DANIEL | CHIEF OPERATIONS OFFICER | 3221945 |
| HOGENDORN, SHANNON DANIEL | PRESIDENT & PRINCIPAL MANAGER | 3221945 |
| HOLMES, GARY | CHIEF COMPLIANCE OFFICER | 3171812 |
| WHITTY, RICHARD PATRICK | TREASURER/FINOP | 1988149 |
Disclosures
Regulatory Event
3Arbitration
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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.
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Primary Firm SEC Registration
ICMA - RC SERVICES, INC. | MISSIONSQUARE WEALTH MANAGEMENT | MISSIONSQUARE INVESTMENT SERVICES | ICMA-RC SERVICES, LLC
State Registrations and Notice Filings
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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