Scott A. 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.
Scott Alan Smith, who also goes by Scott A Smith, Scott Alan Smith, Scott Alan Alan Smith, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1998. Scott had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 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 9, 2020 - June 20, 2020
GOLDMAN SACHS CUSTODY SOLUTIONS
February 2, 2018 - July 9, 2019
BMO HARRIS FINANCIAL ADVISORS, INC.
January 31, 2018 - July 9, 2019
BMO HARRIS FINANCIAL ADVISORS, INC.
February 29, 2016 - January 24, 2018
LPL FINANCIAL LLC
February 25, 2016 - January 24, 2018
LPL FINANCIAL LLC
June 9, 2015 - February 26, 2016
CAPITAL ONE INVESTING, LLC
May 11, 2015 - February 26, 2016
CAPITAL ONE ADVISORS, LLC
April 28, 2014 - July 10, 2014
CAPITAL ONE FINANCIAL ADVISORS LLC
April 25, 2014 - July 10, 2014
CAPITAL ONE INVESTMENT SERVICES LLC
February 21, 2013 - April 14, 2014
CAPITAL ONE INVESTING, LLC
February 12, 2013 - April 14, 2014
CAPITAL ONE ADVISORS, LLC
February 5, 2007 - May 23, 2012
CHARLES SCHWAB & CO., INC.
April 9, 2001 - May 23, 2012
CHARLES SCHWAB & CO., INC.
June 17, 1998 - September 5, 2000
IDS LIFE INSURANCE COMPANY
June 17, 1998 - September 5, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
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
GOLDMAN SACHS CUSTODY SOLUTIONS
CRD#: 48015 / SEC#: , 8-52009
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FOLIO FINANCIAL, INC. (D/B/A GOLDMAN SACHS CS HOLDINGS) | 100 % SHAREHOLDER | |
| CHOKSI, ANISH PAREN | CHIEF COMPLIANCE OFFICER | 6506840 |
| EISENSTEIN, JEREMY S | CHIEF EXECUTIVE OFFICER & PRESIDENT | 4972748 |
| FYFFE, JAMES COMPEAU | CHIEF FINANCIAL OFFICER, FINOP & PFO | 2619159 |
| GERAGHTY, PETER RICHARD | GENERAL COUNSEL | 4930752 |
| GREEFF, BRIAN MICHAEL | COO & POO | 4273392 |
| SIEGLER, ADAM JAMES | MANAGING DIRECTOR | 5112351 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
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.
