Parrish G. 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.
Parrish Glenn Smith, who also goes by Parrish G Smith, Parrish Smith, Parrish Glenn Tyler, was a registered financial professional .
Parrish is a previously registered financial professional and started their career in finance in 1994. Parrish had worked at 5 firms and has passed the Series 66, Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 22, 2013 - September 25, 2013
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
January 3, 2013 - September 25, 2013
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 11, 2012 - November 27, 2012
WADDELL & REED
January 11, 2012 - November 27, 2012
WADDELL & REED
February 18, 2011 - April 13, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 29, 1997 - December 23, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 3, 1994 - January 23, 1997
AMERIPRISE ADVISOR SERVICES, INC.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
