Jeanne C. 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.
Jeanne Carlson Smith, CFP® was a registered financial professional .
Jeanne is a previously registered financial professional and started their career in finance in 1997. Jeanne had worked at 6 firms and has passed the Series 63, SIE, 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
April 1, 2022 - February 27, 2023
DIVERSIFIED, LLC
August 29, 2005 - March 31, 2022
MARCA LIFE PLANNING
December 15, 2004 - August 29, 2005
TRIAD ADVISORS LLC
December 15, 2004 - October 21, 2016
TRIAD ADVISORS LLC
December 14, 2000 - December 15, 2004
OSAIC FA, INC.
November 15, 2000 - December 15, 2004
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
November 15, 2000 - December 15, 2004
OSAIC FA, INC.
March 24, 1997 - November 17, 2000
CADARET, GRANT & 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
DIVERSIFIED, LLC
CRD#: 123859 / SEC#: 801-112580
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 4,562 |
| AUM (Assets Under Management) | $ 1,553,774,222 |
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.
