Tristan M. 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.
Tristan Marie Smith was a registered financial professional .
Tristan is a previously registered financial professional and started their career in finance in 1994. Tristan had worked at 6 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 9, 2023 - October 8, 2024
VOYA FINANCIAL PARTNERS, LLC
December 16, 2014 - November 9, 2021
JOHN HANCOCK DISTRIBUTORS LLC
September 14, 2006 - October 2, 2014
TRANSAMERICA INVESTORS SECURITIES, LLC
November 7, 2005 - July 20, 2006
OSAIC WEALTH, INC.
November 18, 1997 - August 3, 2004
JOHN HANCOCK DISTRIBUTORS LLC
January 3, 1997 - May 20, 1997
ONE ORCHARD EQUITIES, INC.
July 25, 1994 - January 3, 1997
THE GREAT-WEST LIFE ASSURANCE COMPANY
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
VOYA FINANCIAL PARTNERS, LLC
CRD#: 34815 / SEC#: 801-57637, 8-46451
Contact information
FINRA licenses (53 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
Red Flags
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