SS
Sean M. Smith
EQUITABLE DISTRIBUTORS
Charlotte, NC 28262
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CRD#: 2257819
SS
Professional summary
Sean Michael Smith is a registered financial professional currently at EQUITABLE DISTRIBUTORS, LLC located in Charlotte, North Carolina.
Sean is registered as a RR (Registered Representative) and started their career in finance in 1994. Sean has worked at 3 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Sean Michael Smith's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
April 18, 2012 - Present
EQUITABLE DISTRIBUTORS, LLC
Office #1: 8501 Ibm Drive Suite 150, Charlotte, NC 28262BD
CRD#: 25900
Charlotte, NC
Past
October 11, 2007 - November 18, 2009
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
BD
CRD#: 18353
NEWARK, NJ
Past
January 1, 1997 - October 26, 2005
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
BD
CRD#: 18353
NEWARK, NJ
Past
August 4, 1994 - January 1, 1997
PRUDENTIAL RETIREMENT SERVICES, INC.
BD
CRD#: 25058
NEWARK, NJ
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(2/6/2025)
RR
Alaska(2/6/2025)
RR
Arizona(8/28/2024)
RR
Arkansas(5/6/2021)
RR
California(5/20/2014)
RR
Colorado(2/6/2025)
RR
Connecticut(2/6/2025)
RR
Delaware(2/20/2025)
RR
District of Columbia(2/6/2025)
RR
Florida(2/6/2023)
RR
Georgia(2/7/2025)
RR
Hawaii(2/7/2025)
RR
Idaho(2/6/2025)
RR
Illinois(2/7/2025)
RR
Indiana(2/11/2025)
RR
Iowa(2/3/2016)
RR
Kansas(10/11/2016)
RR
Kentucky(2/3/2023)
RR
Louisiana(5/6/2021)
RR
Maine(2/6/2025)
RR
Maryland(2/6/2025)
RR
Massachusetts(2/7/2025)
RR
Michigan(2/10/2025)
RR
Minnesota(2/6/2025)
RR
Mississippi(2/6/2025)
RR
Missouri(3/8/2023)
RR
Montana(5/21/2014)
RR
Nebraska(5/20/2014)
RR
Nevada(2/6/2025)
RR
New Hampshire(2/7/2025)
RR
New Jersey(2/10/2025)
RR
New Mexico(5/20/2014)
RR
New York(2/11/2025)
RR
North Carolina(2/10/2025)
RR
North Dakota(2/10/2025)
RR
Ohio(2/7/2025)
RR
Oklahoma(5/6/2021)
RR
Oregon(2/7/2025)
RR
Pennsylvania(2/7/2025)
RR
Puerto Rico(2/19/2025)
RR
Rhode Island(2/7/2025)
RR
South Carolina(2/10/2025)
RR
South Dakota(2/6/2025)
RR
Tennessee(3/9/2023)
RR
Texas(5/11/2018)
RR
Utah(2/6/2025)
RR
Vermont(2/6/2025)
RR
Virginia(2/6/2025)
RR
Washington(5/22/2014)
RR
West Virginia(3/6/2025)
RR
Wisconsin(2/7/2025)
RR
Wyoming(2/7/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
ED
EQUITABLE DISTRIBUTORS, LLC
AXA DISTRIBUTORS, LLC | EQUITABLE DISTRIBUTORS, LLC | EQUITABLE DISTRIBUTORS, INC. | AXA PARTNERS, A BUSINESS UNIT OF AXA DISTRIBUTORS, LLC
CRD#: 25900 / SEC#: , 8-42123
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
8501 Ibm Drive, Suite 150, Charlotte, NC 28262
Mailing Address
1345 Avenue Of The Americas, New York, NY 10105
Phone number
(212) 314-2137
Established
Delaware since 01/01/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EQ HOLDINGS, LLC | OWNER | |
| D'AUGUSTE, ARIELLE RACHEL | GENERAL COUNSEL | 7252573 |
| DURSO, ALFRED JOSEPH | CHIEF COMPLIANCE OFFICER | 2546771 |
| KAIS, JAMES MICHAEL | DIRECTOR | 2529327 |
| LANE, NICHOLAS BURRITT | CHAIRMAN OF THE BOARD, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4994948 |
| SCANLON, STEPHEN CAULEY | DIRECTOR | 2219308 |
| SCAPPATOR, CANDACE LYNN | FINOP / CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 4697607 |
Disclosures
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
