Adam M. Smolen
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.
Adam Matthew Smolen was a registered financial advisor .
Adam is a previously registered financial advisor and started their career in finance in 1995. Adam had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 25, 2007 - October 19, 2011
THE QUANTUM GROUP
August 31, 2007 - July 1, 2008
GROVE POINT INVESTMENTS, LLC
April 13, 2006 - August 16, 2007
EAGLE STRATEGIES LLC
April 13, 2006 - August 16, 2007
NYLIFE SECURITIES LLC
April 20, 2005 - April 10, 2006
THE QUANTUM GROUP
September 9, 2003 - April 29, 2005
BLACK INK WEALTH MANAGEMENT, INC.
September 10, 1999 - December 31, 2004
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
March 22, 1999 - July 22, 1999
NEW ENGLAND SECURITIES
November 13, 1996 - February 18, 1999
PERCIVAL FINANCIAL PARTNERS, LTD.
February 6, 1995 - December 16, 1996
EQUITY SERVICES, INC.
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
No current employment
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
