Sidney J. 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.
Sidney James Smith was a registered financial professional .
Sidney is a previously registered financial professional and started their career in finance in 1970. Sidney had worked at 6 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 25, 2010 - April 27, 2012
EQUITABLE DISTRIBUTORS, LLC
January 16, 2004 - July 2, 2010
EQUITABLE ADVISORS, LLC
October 20, 2003 - November 25, 2003
EQUITABLE ADVISORS, LLC
January 4, 2001 - June 4, 2002
EQUITABLE DISTRIBUTORS, LLC
January 26, 1998 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
November 13, 1997 - December 20, 2000
EQUITABLE ADVISORS, LLC
March 17, 1995 - June 26, 1996
VERAVEST INVESTMENTS, INC.
August 25, 1989 - June 20, 1994
GEM ADVISORS, INC.
September 8, 1986 - June 20, 1994
INTEGRITY LIFE INSURANCE COMPANY
October 16, 1970 - June 15, 1989
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
October 16, 1970 - June 15, 1989
EQUITABLE ADVISORS, 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 1
Date: 10/12/1970
Registered Representative ExaminationCurrent Firm
EQUITABLE DISTRIBUTORS, LLC
CRD#: 25900 / SEC#: , 8-42123
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EQ HOLDINGS, LLC | OWNER | |
| D'AUGUSTE, ARIELLE RACHEL | GENERAL COUNSEL | 7252573 |
| DURSO, ALFRED JOSEPH | CHIEF COMPLIANCE OFFICER | 2546771 |
| KAIS, JAMES MICHAEL | DIRECTOR | 2529327 |
| LANE, NICHOLAS BURRITT | CHAIRMAN OF THE BOARD, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4994948 |
| SCANLON, STEPHEN CAULEY | DIRECTOR | 2219308 |
| SCAPPATOR, CANDACE LYNN | FINOP / CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 4697607 |
Disclosures
| Arbitration | 1 |
Red Flags
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