Edward L. 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.
Edward Lee Smith was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1991. Edward had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 12, 2010 - June 28, 2024
FEDERATED GLOBAL INVESTMENT MANAGEMENT CORP.
November 11, 2009 - June 28, 2024
FEDERATED SECURITIES CORP.
May 18, 2009 - June 28, 2024
MDT ADVISERS, A DIVISION OF FEDERATED MDTA LLC
April 23, 2009 - June 28, 2024
FEDERATED INVESTMENT COUNSELING
April 12, 1991 - June 28, 2024
FEDERATED SECURITIES CORP.
Primary Firm SEC Registration
FEDERATED GLOBAL INVESTMENT MANAGEMENT CORP.
CRD#: 106277 / SEC#: 801-49470
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
FEDERATED GLOBAL INVESTMENT MANAGEMENT CORP.
CRD#: 106277 / SEC#: 801-49470
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 74 |
| AUM (Assets Under Management) | $ 14,819,533,515 |
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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