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HS

Hollis Smith

J.P. MORGAN INSTITUTIONAL INVESTMENTS
Chicago, IL 60603
Some features on this profile are disabled
CRD#: 4024020
HS

Professional summary

Hollis Smith, CIMA® is a registered financial professional currently at J.P. MORGAN INSTITUTIONAL INVESTMENTS INC. located in Chicago, Illinois.

Hollis is registered as a RR (Registered Representative) and started their career in finance in 1999. Hollis has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Hollis Smith's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CIMA®

Certified Investment Management Analyst

Experience

Current

March 17, 2016 - Present

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

Office #1: 10 South Dearborn, Chicago, IL 60603
BD
CRD#: 102920
Chicago, IL
Past

May 9, 2011 - February 5, 2016

JOHN HANCOCK DISTRIBUTORS LLC

BD
CRD#: 5249
BOSTON, MA
Past

April 25, 2011 - February 5, 2016

MANULIFE INVESTMENT MANAGEMENT (US) LLC

RIA
CRD#: 106435
BOSTON, MA
Past

April 19, 2011 - February 5, 2016

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

BD
CRD#: 28262
BOSTON, MA
Past

November 24, 2010 - April 19, 2011

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
WESTBORO, MA
Past

April 20, 2006 - July 28, 2010

AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.

RIA
CRD#: 138756
BOSTON, MA
Past

July 9, 2004 - April 20, 2006

AMUNDI ASSET MANAGEMENT US, INC.

RIA
CRD#: 107719
BOSTON, MA
Past

June 29, 2004 - July 28, 2010

AMUNDI DISTRIBUTOR US, INC.

BD
CRD#: 24497
BOSTON, MA
Past

September 11, 2003 - May 25, 2004

MANULIFE INVESTMENT MANAGEMENT (US) LLC

RIA
CRD#: 106435
BOSTON, MA
Past

September 11, 2003 - May 25, 2004

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

RIA
CRD#: 105790
BOSTON, MA
Past

April 9, 2001 - May 21, 2004

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

BD
CRD#: 28262
BOSTON, MA
Past

December 17, 1999 - March 22, 2001

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
BOSTON, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(3/17/2016)
RR
California
(3/17/2016)
RR
Colorado
(3/17/2016)
RR
Georgia
(3/17/2016)
RR
Illinois
(3/17/2016)
RR
Iowa
(3/17/2016)
RR
Massachusetts
(3/17/2016)
RR
Minnesota
(3/17/2016)
RR
New Jersey
(3/17/2016)
RR
New York
(3/17/2016)
RR
North Carolina
(3/17/2016)
RR
Pennsylvania
(1/3/2024)
RR
Texas
(3/17/2016)
RR
Wisconsin
(3/17/2016)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/25/2003
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/4/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/25/2002
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/16/1999
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

JM
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
J. P. MORGAN ADVISORS, INC. | J.P. MORGAN INSTITUTIONAL INVESTMENTS INC. | J.P. MORGAN INSTITUTIONAL INVESTMENTS | J.P. MORGAN

CRD#: 102920 / SEC#: 801-64031, 8-52182

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
383 Madison Avenue, New York, NY 10179
Mailing Address
480 Washington Blvd, Floor 11 Ny1-f019, Jersey City, NJ 07310-1616
Phone number
(201) 595-1958
Established
Delaware since 05/26/1999
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

NamePositionCRD#
JPMORGAN ASSET MANAGEMENT HOLDINGS INC.STOCKHOLDER
DONOHUE, JOHN THOMASDIRECTOR2372302
HOFFMANN, JAMES ARTHURCHIEF ADMINISTRATIVE OFFICER1949574
KLOZA, KEVINCHIEF COMPLIANCE OFFICER2188958
LEKSTUTIS, CARMINECHIEF LEGAL OFFICER6990745
LISHER, ANDREAPRESIDENT AND DIRECTOR4493750
MACHULSKI, MICHAEL RICHARDDIRECTOR4726972
SANZONE, JOSEPH FRANKDIRECTOR6581797
STRIFE, LOREN TPRINCIPAL FINANCIAL AND OPERATIONS OFFICER5393453

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.

Company Information

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

CRD#: 102920Chicago, IL 60603

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