Jason 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.
Jason Smith, who also goes by Jason Anthony Smith, was a registered financial professional .
Jason is a previously registered financial professional and started their career in finance in 1993. Jason had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 79, 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
September 23, 2019 - March 15, 2021
BOFA SECURITIES, INC.
September 27, 2016 - September 10, 2019
CITIGROUP GLOBAL MARKETS INC.
April 25, 2011 - July 15, 2015
WELLS FARGO SECURITIES, LLC
October 19, 2005 - July 7, 2006
BARCLAYS CAPITAL INC.
July 9, 1999 - August 28, 2002
BANC OF AMERICA SECURITIES LLC
February 1, 1994 - August 21, 1997
FIDELITY BROKERAGE SERVICES LLC
September 13, 1993 - November 4, 1993
IDS LIFE INSURANCE COMPANY
September 13, 1993 - November 4, 1993
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
BOFA SECURITIES, INC.
CRD#: 283942 / SEC#: 801-112640, 8-69787
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 8
Date: 7/23/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BOFA SECURITIES, INC.
CRD#: 283942 / SEC#: 801-112640, 8-69787
Contact information
SEC notice filing (2 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NB HOLDINGS CORPORATION | SOLE STOCKHOLDER | |
| BHATIA, KASHYAP P | CHIEF COMPLIANCE OFFICER / BROKER DEALER | 6110368 |
| CHEPUCAVAGE, LAURA P | DIRECTOR, STATE DESIGNATED PRINCIPAL | 4672504 |
| GADKARI, SARANG RAJAN | DIRECTOR | 2522409 |
| MCQUEEN, MATTHEW C | DIRECTOR | 4204052 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| RAE, GLEN ALEXANDER | CHIEF LEGAL OFFICER | 6300829 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| STAGG, JENNIFER C | CHIEF COMPLIANCE OFFICER / REGISTERED INVESTMENT ADVISER | 2597167 |
| ZUBERI, SOOFIAN J J | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2372292 |
Disclosures
| Regulatory Event | 71 |
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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