Jodi 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.
Jodi Anne Smith, who also goes by Jodi A Furman, Jodi Anne Furman, was a registered financial professional .
Jodi is a previously registered financial professional and started their career in finance in 2002. Jodi had worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 18, 2009 - July 27, 2026
UBS ASSET MANAGEMENT (US) INC.
December 5, 2005 - June 8, 2009
BANC OF AMERICA SECURITIES LLC
January 4, 2005 - May 16, 2005
BISHOP, ROSEN & CO., INC.
June 23, 2003 - November 5, 2004
SEIDEL & CO., LLC
November 15, 2002 - June 16, 2003
CIBC WORLD MARKETS CORP.
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
UBS ASSET MANAGEMENT (US) INC.
CRD#: 583 / SEC#: , 8-21901
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 10 |
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.
