Julianne M. Smith
Professional summary
Julianne Mary Smith, who also goes by Julianne Mary Brown, is a registered financial advisor currently at SECURE PLANNING, LLC located in Portsmouth, New Hampshire.
Julianne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Julianne has worked at 5 firms and has passed the Series 63, Series 65, Series 52TO, Series 99TO, SIE, Series 7, Series 14, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Julianne Mary Smith's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Julianne Mary Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 14, 2006 - Present
SECURE PLANNING, LLC
Office #1: 42 Middle Street, Portsmouth, NH 03801Office #2: 42 Middle St, Portsmouth, NH 03801June 5, 2006 - Present
SECURE PLANNING, LLC
Office #1: 42 Middle Street, Portsmouth, NH 03801Office #2: 42 Middle Street, Portsmouth, NH 03801August 17, 2005 - June 9, 2006
MML INVESTORS SERVICES, LLC
November 4, 2004 - June 27, 2005
AMFIN INVESTMENT SERVICES, INC.
June 7, 2004 - August 20, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
May 4, 2004 - August 20, 2004
IDS LIFE INSURANCE COMPANY
May 4, 2004 - August 20, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
SECURE PLANNING, LLC
CRD#: 42179 / SEC#: 801-55630, 8-49737
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/6/2025)
(1/6/2025)
(12/9/2020)
(2/23/2017)
(12/9/2020)
(12/9/2020)
(6/14/2006)
(11/5/2007)
Exams
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
SECURE PLANNING, LLC
CRD#: 42179 / SEC#: 801-55630, 8-49737
Contact information
SEC notice filing (8 States and Territories)
FINRA licenses (18 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 868 |
| AUM (Assets Under Management) | $ 169,334,279 |
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.
Company Information
SECURE PLANNING, LLC
CRD#: 42179Portsmouth, NH 03801TRUST BUT VERIFY
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