Jeffrey A. 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.
Jeffrey Alan Smith was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1993. Jeffrey had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 53, 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
October 21, 2013 - July 8, 2016
AMERICAN ASSET ADVISORY, LLC
March 29, 2010 - July 8, 2016
ACCELERATED CAPITAL GROUP
May 23, 2008 - June 25, 2010
LONGVIEW FINANCIAL GROUP, INC
October 27, 2005 - May 6, 2008
WESTERN GROWERS FINANCIAL SERVICES, INC.
October 25, 2005 - May 6, 2008
WESTERN GROWERS FINANCIAL SERVICES, INC.
December 6, 1999 - October 27, 2005
CITIGROUP GLOBAL MARKETS INC.
November 24, 1999 - October 27, 2005
CITIGROUP GLOBAL MARKETS INC.
September 27, 1993 - November 30, 1999
PRUDENTIAL EQUITY GROUP, 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
Exams
Series 8
Date: 1/21/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
AMERICAN ASSET ADVISORY, LLC
CRD#: 168444 / SEC#:
Contact information
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.
