Darren F. 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.
Darren F Smith, who also goes by Darren Frederick Smith, was a registered financial professional .
Darren is a previously registered financial professional and started their career in finance in 1994. Darren had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 6, Series 30 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 4, 2006 - October 17, 2023
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
January 1, 2005 - August 1, 2006
JPMORGAN DISTRIBUTION SERVICES, INC.
February 5, 2003 - September 9, 2003
ROBERT FLEMING INC.
October 24, 2002 - September 11, 2006
J.P. MORGAN INVESTMENT MANAGEMENT INC.
July 13, 2001 - January 1, 2005
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
June 18, 2001 - June 18, 2001
J.P. MORGAN SECURITIES INC.
December 31, 2000 - July 16, 2001
LINCOLN FINANCIAL DISTRIBUTORS, INC.
April 26, 2000 - December 31, 2000
DELAWARE DISTRIBUTORS, L.P.
July 12, 1996 - October 26, 1999
BOFA DISTRIBUTORS, INC.
May 13, 1994 - July 10, 1996
INVESCO DISTRIBUTORS, 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
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
CRD#: 102920 / SEC#: 801-64031, 8-52182
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JPMORGAN ASSET MANAGEMENT HOLDINGS INC. | STOCKHOLDER | |
| DONOHUE, JOHN THOMAS | DIRECTOR | 2372302 |
| HOFFMANN, JAMES ARTHUR | CHIEF ADMINISTRATIVE OFFICER | 1949574 |
| KLOZA, KEVIN | CHIEF COMPLIANCE OFFICER | 2188958 |
| LEKSTUTIS, CARMINE | CHIEF LEGAL OFFICER | 6990745 |
| LISHER, ANDREA | PRESIDENT AND DIRECTOR | 4493750 |
| MACHULSKI, MICHAEL RICHARD | DIRECTOR | 4726972 |
| SANZONE, JOSEPH FRANK | DIRECTOR | 6581797 |
| STRIFE, LOREN T | PRINCIPAL FINANCIAL AND OPERATIONS OFFICER | 5393453 |
Red Flags
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