JS
Jeremy E. Smith
EATON VANCE DISTRIBUTORS
Seattle, WA 98104
Some features on this profile are disabled
CRD#: 2815308
JS
Professional summary
Jeremy Edward Smith is a registered financial professional currently at EATON VANCE DISTRIBUTORS, INC. located in Seattle, Washington.
Jeremy is registered as a RR (Registered Representative) and started their career in finance in 1997. Jeremy has worked at 7 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Jeremy Edward Smith's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 4, 2017 - Present
EATON VANCE DISTRIBUTORS, INC.
Office #1: 800 Fifth Avenue Suite 2800, Seattle, WA 98104BD
CRD#: 37731
Seattle, WA
Past
March 25, 2010 - April 25, 2017
ALLIANZ LIFE FINANCIAL SERVICES, LLC
BD
CRD#: 612
GOLDEN VALLEY, MN
Past
January 1, 2007 - March 10, 2008
RIVERSOURCE DISTRIBUTORS, INC.
BD
CRD#: 139135
MINNEAPOLIS, MN
Past
October 6, 2004 - July 3, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
October 6, 2004 - January 1, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
February 21, 2000 - December 31, 2002
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
SAINT PAUL, MN
Past
July 23, 1997 - July 2, 1999
LUTHERAN BROTHERHOOD SECURITIES CORP.
BD
CRD#: 4205
MINNEAPOLIS, MN
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(1/21/2025)
RR
Arkansas(5/4/2017)
RR
California(5/4/2017)
RR
Colorado(5/4/2017)
RR
Connecticut(5/4/2017)
RR
Delaware(5/4/2017)
RR
District of Columbia(5/4/2017)
RR
Florida(5/4/2017)
RR
Idaho(5/4/2017)
RR
Illinois(5/4/2017)
RR
Indiana(5/4/2017)
RR
Iowa(5/4/2017)
RR
Kansas(5/4/2017)
RR
Louisiana(5/4/2017)
RR
Maine(5/4/2017)
RR
Maryland(5/4/2017)
RR
Massachusetts(5/4/2017)
RR
Michigan(5/4/2017)
RR
Minnesota(5/4/2017)
RR
Missouri(5/4/2017)
RR
Nebraska(5/4/2017)
RR
New Jersey(5/4/2017)
RR
New York(5/4/2017)
RR
Ohio(5/4/2017)
RR
Oklahoma(5/4/2017)
RR
Oregon(5/4/2017)
RR
Pennsylvania(5/4/2017)
RR
South Carolina(5/4/2017)
RR
South Dakota(5/4/2017)
RR
Tennessee(5/4/2017)
RR
Texas(5/4/2017)
RR
Vermont(5/4/2017)
RR
Virginia(5/4/2017)
RR
Washington(5/4/2017)
RR
Wisconsin(5/4/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
EV
EATON VANCE DISTRIBUTORS, INC.
EATON VANCE DISTRIBUTORS, INC. | EV DISTRIBUTORS, INC. | EATON VANCE DISTRIBUTORS, INC.
CRD#: 37731 / SEC#: , 8-47939
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Post Office Square, Boston, MA 02109
Mailing Address
1300 Thames Street C/o Shared Services Compliance - Registration, Baltimore, MD 21231
Phone number
(617) 482-8260
Established
Massachusetts since 07/15/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | SHAREHOLDER | |
| FAHEY, LAWRENCE LOUIS | PRINCIPAL OPERATIONS OFFICER | 2097212 |
| FAMIGLIETTI, FRANK J | DIRECTOR | 2702269 |
| KASETA, LYNN M | CHIEF COMPLIANCE OFFICER | 6451373 |
| KUSH, ANTHONY N | PRINCIPAL FINANCIAL OFFICER, AND, FINANCIAL AND OPERATIONS PRINCIPAL OFFICER | 7463692 |
| LEFEVRE, BENJAMIN WILLIAM | TEXAS DESIGNATED PRINCIPAL | 2261749 |
| LEIMENSTOLL, ANDREW JOHN | DIRECTOR | 4640636 |
| MICHAUD, DAVID ANDREW | DIRECTOR | 2730645 |
| WITKOS, MATTHEW JOSEPH | PRESIDENT, CEO, AND DIRECTOR | 2034689 |
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.
