Elliot S. Smerling
Professional summary
Elliot Scott Smerling was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Elliot is a previously registered financial professional and started their career in finance in 1989. Prior to being barred, Elliot had worked at 7 firms, which includes P.J. ROBB VARIABLE LLC, LPL FINANCIAL LLC, NEWBRIDGE SECURITIES CORPORATION, KOVACK SECURITIES INC., NEW ENGLAND SECURITIES, METROPOLITAN LIFE INSURANCE COMPANY, MSI FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 17, 2012 - October 16, 2012
P.J. ROBB VARIABLE, LLC
April 28, 2011 - May 31, 2012
LPL FINANCIAL LLC
October 10, 2007 - December 31, 2008
NEWBRIDGE SECURITIES CORPORATION
August 9, 2004 - August 25, 2006
KOVACK SECURITIES INC.
October 21, 1993 - January 17, 2003
NEW ENGLAND SECURITIES
August 5, 1993 - October 5, 1993
METROPOLITAN LIFE INSURANCE COMPANY
August 5, 1993 - October 5, 1993
MSI FINANCIAL SERVICES, INC.
November 1, 1989 - July 7, 1993
NEW ENGLAND SECURITIES
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
P.J. ROBB VARIABLE, LLC
CRD#: 38339 / SEC#: , 8-48197
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CRUMP LIFE INSURANCE SERVICES, LLC | OWNER | |
| COLLINS, HEATHER MARIE | ASSISTANT TREASURER AND PRINCIPAL OPERATIONS OFFICER | 5851459 |
| CORDLE, COYE BAXTER III | CHIEF COMPLIANCE OFFICER, AML OFFICER & PRIVACY OFFICER | 4544954 |
| HARRISON, BRUCE ANDREW | PRESIDENT, CEO AND CHAIRMAN OF THE BOARD / DIRECTOR | 2232934 |
| MERCHANT, JEFFREY S | CHIIEF FINANCIAL OFFICER / TREASURER / PRINCIPAL FINANCIAL OFFICER / DIRECTOR | 4668892 |
| SCHUYLER, JOHN EDWIN | SECRETARY AND DIRECTOR | 1056044 |
| STAHLNECKER, ERIN ELIZABETH | ALTERNATE PRINCIPAL OPERATIONS OFFICER | 6606934 |
Red Flags
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