Courtney 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.
Courtney Jessica Smith, who also goes by Courtney J Wilson, Courtney Jessica Wilson, was a registered financial professional .
Courtney is a previously registered financial professional and started their career in finance in 2001. Courtney had worked at 7 firms and has passed the Series 65, Series 63 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
September 19, 2013 - July 7, 2014
COLDSTREAM SECURITIES, INC.
December 5, 2012 - July 7, 2014
COLDSTREAM WEALTH MANAGEMENT
February 8, 2005 - January 17, 2006
COLDSTREAM SECURITIES, INC.
January 20, 2004 - January 17, 2006
COLDSTREAM WEALTH MANAGEMENT
March 3, 2003 - January 13, 2004
MERCER ADVISORS
July 3, 2002 - September 27, 2002
EQUITABLE ADVISORS, LLC
May 9, 2002 - June 7, 2002
WOODBURY FINANCIAL SERVICES, INC.
May 1, 2002 - May 29, 2002
HARRISDIRECT LLC
April 25, 2001 - May 1, 2002
HARRIS INVESTORLINE INC.
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
COLDSTREAM SECURITIES, INC.
CRD#: 46835 / SEC#: , 8-51549
Contact information
FINRA licenses (12 States and Territories)
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.
