Lynne 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.
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 professional .
Lynne is a previously registered financial professional and started their career in finance in 1988. Lynne had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 17, 2020 - April 22, 2025
MISSIONSQUARE INVESTMENT SERVICES
March 11, 2019 - July 17, 2020
ONEAMERICA SECURITIES, INC.
February 13, 2018 - January 29, 2019
BMO HARRIS FINANCIAL ADVISORS, INC.
February 2, 2011 - October 13, 2016
VOYA FINANCIAL ADVISORS, INC.
July 21, 2010 - February 24, 2011
DIRECTED SERVICES LLC
December 7, 2006 - April 25, 2007
CITISTREET EQUITIES LLC
September 1, 2005 - January 4, 2010
VOYA RETIREMENT ADVISORS, LLC
May 15, 2001 - September 1, 2005
CITISTREET EQUITIES LLC
December 24, 1996 - April 16, 2001
CITIGROUP GLOBAL MARKETS INC.
July 31, 1993 - March 9, 1995
CITIGROUP GLOBAL MARKETS INC.
December 20, 1988 - July 31, 1993
LEHMAN BROTHERS 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
MISSIONSQUARE INVESTMENT SERVICES
CRD#: 23189 / SEC#: , 8-40268
Contact information
FINRA licenses (51 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 | |
| GANEY, PETER DAVIDSON | MANAGER | 2282691 |
| HOGENDORN, SHANNON DANIEL | CHIEF OPERATIONS OFFICER | 3221945 |
| HOGENDORN, SHANNON DANIEL | PRINCIPAL MANAGER | 3221945 |
| RICHARDS, CLIFF LAWRENCE | CHIEF COMPLIANCE OFFICER | 2974428 |
| WHITTY, RICHARD PATRICK | TREASURER/FINOP | 1988149 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
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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