Scarlett L. Smith
Professional summary
Scarlett Loree Smith was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Scarlett is a previously registered financial professional and started their career in finance in 2005. Prior to being barred, Scarlett had worked at 3 firms, which includes TALCOTT RESOLUTION DISTRIBUTION COMPANY INC., HIMCO DISTRIBUTION SERVICES COMPANY, FIRST HORIZON ADVISORS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 1, 2009 - January 12, 2010
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
September 1, 2006 - January 1, 2009
HIMCO DISTRIBUTION SERVICES COMPANY
February 8, 2005 - November 17, 2005
FIRST HORIZON ADVISORS, 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
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
CRD#: 37819 / SEC#: , 8-48097
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TALCOTT HOLDINGS, LP | PARENT OF APPLICANT | |
| CONNER, CHRISTOPHER SCOTT | CHIEF COMPLIANCE OFFICER AND DIRECTOR | 2239639 |
| DAGNAULT, CHRISTOPHER JOHN | CEO, PRESIDENT AND DIRECTOR | 2311161 |
| MATTHEWS, STILA HSUANPING | AML OFFICER AND ASSISTANT SECRETARY | 5745148 |
| ROSA, ANTONIO T JR | FINOP, CFO AND TREASURER | 6963656 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
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