Jeffrey T. 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 Todd Smith, who also goes by Jeff Smith, Jeffery 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 8 firms and has passed the Series 63, Series 65, Series 6TO, 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
November 2, 2020 - January 30, 2024
AMERICAN FIDELITY SECURITIES, INC.
July 6, 2017 - June 24, 2020
HURLEY INVESTMENTS, LLC
May 16, 2012 - September 26, 2012
CUSO FINANCIAL SERVICES, L.P.
December 18, 2007 - May 23, 2012
NYLIFE SECURITIES LLC
December 13, 2002 - December 10, 2007
FORESTERS EQUITY SERVICES, INC.
April 24, 2001 - January 17, 2003
NEW ENGLAND SECURITIES
November 15, 2000 - January 17, 2003
NEW ENGLAND SECURITIES
May 18, 1999 - October 26, 2000
IDS LIFE INSURANCE COMPANY
May 18, 1999 - October 26, 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
Series 6TO
Date: 10/31/2020
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
AMERICAN FIDELITY SECURITIES, INC.
CRD#: 11852 / SEC#: , 8-15123
Contact information
FINRA licenses (27 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERICAN FIDELITY ASSURANCE COMPANY | SHAREHOLDER | |
| BOLDEN, TIMOTHY H | DIRECTOR | 5376036 |
| COLON, TARYN K | ASSISTANT VICE PRESIDENT, TREASURER, FINOP PRINCIPAL, AND PRINCIPAL FINANCIAL OFFICER | 7642942 |
| DOHERTY, JAMES HUGH | PRINCIPAL OPERATIONS OFFICER | 4197747 |
| GRANT, ANGELA FAITH | DIRECTOR | 4176509 |
| KEELING, COURTNEY DANAE | DIRECTOR, ASSISTANT VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 7675059 |
| KENNEY, CHRISTOPHER THOMAS | CEO AND PRESIDENT | 5452832 |
| OVERFIELD, LINDA E | ASSISTANT VICE PRESIDENT |
Disclosures
| Regulatory Event | 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.
