Colin 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.
Colin Smith, who also goes by Colin Smith Jr, was a registered financial professional .
Colin is a previously registered financial professional and started their career in finance in 1998. Colin had worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 12, 2014 - December 17, 2015
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
January 20, 2012 - March 26, 2014
MML INVESTORS SERVICES, LLC
April 13, 1999 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
April 17, 1998 - December 19, 2011
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
Primary Firm SEC Registration
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611 / SEC#: 801-61332, 8-47290
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
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611 / SEC#: 801-61332, 8-47290
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 116 |
| AUM (Assets Under Management) | $ 24,355,321 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
| Bond | 8 |
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.
