Jeffrey L. 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.
Jeffrey L Smith, who also goes by Jeff Smith, Jeffery L Smith, Jeffrey Lynn Smith, Jeffrey Smith, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1999. Jeffrey had worked at 11 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 6, 2022 - July 20, 2022
FORESIDE FUND SERVICES, LLC
August 1, 2019 - June 11, 2020
LOCORR DISTRIBUTORS, LLC
March 17, 2017 - August 6, 2019
BRIGHTHOUSE SECURITIES, LLC
January 27, 2016 - April 11, 2016
ALLSTATE FINANCIAL SERVICES, LLC
November 13, 2015 - January 8, 2016
PFS INVESTMENTS INC.
July 22, 2013 - February 28, 2014
BIC DISTRIBUTORS, LLC
February 14, 2011 - September 10, 2012
PIMCO INVESTMENTS LLC
May 5, 2008 - February 14, 2011
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
March 24, 2006 - May 23, 2008
DWS DISTRIBUTORS, INC.
March 8, 2005 - March 21, 2006
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
January 29, 2003 - February 7, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 6, 1999 - February 7, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Series 7TO
Date: 3/15/2022
General Securities Representative ExaminationCurrent Firm
FORESIDE FUND SERVICES, LLC
CRD#: 46106 / SEC#: , 8-51293
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| STROUT, ALICIA KIMBERLY | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 6320351 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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