Jeanette 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.
Jeanette Smith, who also goes by Jeanette Weiss, was a registered financial professional .
Jeanette is a previously registered financial professional and started their career in finance in 1993. Jeanette had worked at 8 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 10, Series 9, Series 53, Series 4, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 19, 2016 - January 10, 2025
CHARLES SCHWAB & CO., INC.
February 19, 2016 - January 10, 2025
CHARLES SCHWAB & CO., INC.
January 29, 2015 - February 1, 2016
LPL FINANCIAL LLC
October 7, 2014 - February 5, 2016
GLOBAL RETIREMENT PARTNERS LLC
September 11, 2014 - February 16, 2016
LPL FINANCIAL LLC
June 26, 2013 - March 13, 2015
FINANCIAL TELESIS INC
June 25, 2013 - April 8, 2015
FINANCIAL TELESIS INC
September 18, 2012 - June 21, 2013
FOOTHILL SECURITIES, INC.
September 18, 2012 - June 21, 2013
FOOTHILL SECURITIES, INC.
March 3, 2011 - January 18, 2012
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
April 24, 2009 - September 30, 2010
FIRST REPUBLIC WEALTH ADVISORS, LLC
August 1, 2007 - January 18, 2012
FIRST REPUBLIC SECURITIES COMPANY, LLC
July 15, 2002 - November 22, 2006
CHARLES SCHWAB & CO., INC.
April 20, 1993 - November 22, 2006
CHARLES SCHWAB & CO., INC.
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 8
Date: 10/16/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
