Stanley J. Smith
Professional summary
Stanley J Smith, who also goes by Stan Smith, Stanley Jon Smith, is a registered financial professional currently at FIDELITY DISTRIBUTORS COMPANY LLC located in Westlake, Texas.
Stanley is registered as a RR (Registered Representative) and started their career in finance in 1989. Stanley has worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stanley J Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 21, 2011 - Present
FIDELITY DISTRIBUTORS COMPANY LLC
Office #1: Two Destiny Way, Westlake, TX 76262October 24, 2013 - April 27, 2017
FIDELITY DISTRIBUTORS CORPORATION
September 3, 2010 - January 4, 2012
FIDELITY BROKERAGE SERVICES LLC
January 1, 2008 - July 6, 2009
FIDELITY BROKERAGE SERVICES LLC
March 4, 2005 - January 1, 2008
FIDELITY DISTRIBUTORS COMPANY LLC
August 12, 1991 - December 31, 2004
FIDELITY DISTRIBUTORS COMPANY LLC
November 3, 1989 - August 12, 1991
FIDELITY BROKERAGE SERVICES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/21/2011)
Exams
FINRA
Current Firm
FIDELITY DISTRIBUTORS COMPANY LLC
CRD#: 17507 / SEC#: , 8-35097
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | STOCKHOLDER | |
| ACKERMAN, CHARLES ALLAN | DIRECTOR | 2168517 |
| ADAMS, ROBERT | COO | 1291582 |
| GUSTAFSON, DALTON | PRESIDENT/DIRECTOR | 2439305 |
| HAGGERTY, MARK A | EXECUTIVE VICE PRESIDENT/DIRECTOR | 4347837 |
| KAVANAUGH, NATALIE ANN | CHIEF LEGAL OFFICER | |
| MCGINTY, JOHN JR. | CHIEF COMPLIANCE OFFICER | 5560420 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 17 |
Red Flags
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