Jean 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.
Jean Alison Smith was a registered financial professional .
Jean is a previously registered financial professional and started their career in finance in 1994. Jean had worked at 5 firms and has passed the Series 63, Series 7 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
January 11, 2010 - October 15, 2013
GORDIAN GROUP, LLC
January 4, 1999 - October 5, 2001
U.S. BANCORP INVESTMENTS, INC.
October 14, 1998 - January 4, 1999
LIBRA INVESTMENTS, INC.
January 1, 1996 - May 1, 1998
UBS SECURITIES LLC
April 29, 1994 - September 27, 1994
INTERCAPITAL SECURITIES, 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
GORDIAN GROUP, LLC
CRD#: 24034 / SEC#: , 8-40861
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
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.
