Jason D. 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.
Jason Daniel Smith, who also goes by Jason Smith, was a registered financial professional .
Jason is a previously registered financial professional and started their career in finance in 1995. Jason had worked at 5 firms and has passed the 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
April 30, 2004 - July 14, 2004
CHICAGO INVESTMENT GROUP, LLC
February 25, 2003 - November 13, 2003
FEDERAL STREET INVESTMENTS, INC.
May 28, 1999 - March 30, 2001
LEERINK PARTNERS LLC
September 30, 1996 - June 10, 1999
GRUNTAL & CO., L.L.C.
September 18, 1995 - October 11, 1996
H.J. MEYERS & CO., 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
CHICAGO INVESTMENT GROUP, LLC
CRD#: 11853 / SEC#: , 8-27507
Contact information
Documents
Disclosures
| Regulatory Event | 16 |
| Arbitration | 2 |
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.
