Jeffrey W. 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.
Jeffrey Willis Smith was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1989. Jeffrey had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 6 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
March 6, 2020 - April 22, 2020
FORESIDE FINANCIAL SERVICES, LLC
March 6, 2014 - March 4, 2020
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
August 17, 2011 - May 9, 2012
PT ASSET MANAGEMENT, LLC
January 28, 2010 - May 9, 2012
PERFORMANCE TRUST CAPITAL PARTNERS, LLC
March 23, 2006 - February 20, 2007
FIDELITY DISTRIBUTORS COMPANY LLC
October 30, 2001 - April 1, 2005
UBS ASSET MANAGEMENT (US) INC.
April 8, 1997 - September 10, 2001
FUNDS DISTRIBUTOR, LLC
December 6, 1996 - February 12, 1997
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
May 16, 1989 - December 6, 1996
FIDUCIARY INVESTMENT COMPANY, 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
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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