Matthew S. 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.
Matthew Stephen Smith was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 2001. Matthew had worked at 5 firms and has passed the Series 66, 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
April 4, 2014 - February 5, 2022
P.J. ROBB VARIABLE, LLC
January 31, 2012 - February 13, 2014
KESTRA INVESTMENT SERVICES, LLC
January 31, 2012 - February 13, 2014
KESTRA INVESTMENT SERVICES, LLC
January 15, 2010 - October 19, 2010
TRUIST INVESTMENT SERVICES, INC.
January 15, 2010 - October 19, 2010
TRUIST INVESTMENT SERVICES, INC.
October 23, 2009 - January 8, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - January 8, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 7, 2002 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 3, 2001 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, 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
P.J. ROBB VARIABLE, LLC
CRD#: 38339 / SEC#: , 8-48197
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CRUMP LIFE INSURANCE SERVICES, LLC | OWNER | |
| COLLINS, HEATHER MARIE | ASSISTANT TREASURER AND PRINCIPAL OPERATIONS OFFICER | 5851459 |
| CORDLE, COYE BAXTER III | CHIEF COMPLIANCE OFFICER, AML OFFICER & PRIVACY OFFICER | 4544954 |
| HARRISON, BRUCE ANDREW | PRESIDENT, CEO AND CHAIRMAN OF THE BOARD / DIRECTOR | 2232934 |
| MERCHANT, JEFFREY S | CHIIEF FINANCIAL OFFICER / TREASURER / PRINCIPAL FINANCIAL OFFICER / DIRECTOR | 4668892 |
| SCHUYLER, JOHN EDWIN | SECRETARY AND DIRECTOR | 1056044 |
| STAHLNECKER, ERIN ELIZABETH | ALTERNATE PRINCIPAL OPERATIONS OFFICER | 6606934 |
Red Flags
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