Adam C. 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.
Adam Curry Smith was a registered financial professional .
Adam is a previously registered financial professional and started their career in finance in 2002. Adam had worked at 4 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
March 7, 2018 - October 9, 2022
SENTINEL ADVISORS, LLC
June 21, 2017 - October 30, 2017
CABANA ASSET MANAGEMENT
June 21, 2016 - June 24, 2016
CABANA ASSET MANAGEMENT
January 14, 2005 - June 3, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 14, 2005 - June 3, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 24, 2004 - December 15, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 24, 2004 - December 15, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 3, 2003 - February 9, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 14, 2002 - February 9, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
SENTINEL ADVISORS, LLC
CRD#: 291606 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 130 |
| AUM (Assets Under Management) | $ 11,800,000 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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