Erica D. Smith
Professional summary
Erica D Smith was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Erica is a previously registered financial professional and started their career in finance in 2006. Prior to being barred, Erica had worked at 2 firms, which includes NATCITY INVESTMENTS INC., CHASE INVESTMENT SERVICES CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 15, 2006 - February 5, 2007
NATCITY INVESTMENTS, INC.
April 21, 2006 - October 17, 2006
CHASE INVESTMENT SERVICES CORP.
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
NATCITY INVESTMENTS, INC.
CRD#: 17490 / SEC#: , 8-35288
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE PNC FINANCIAL SERVICES GROUP, INC. | PARENT | |
| FABRIZI, SILVIO PAUL | CHIEF COMPLIANCE OFFICER | 4321545 |
| MCLAUGHLIN, CHARLOTTE BEHM | PRESIDENT AND CHIEF EXECUTIVE OFFICER - CAPITAL MARKETS | 2849217 |
| SINGER, DOUGLAS LAWRENCE | PRESIDENT AND CHIEF EXECUTIVE OFFICER - RETAIL | 1721973 |
| SUHANIC, JEFFREY DREW | SENIOR VICE PRESIDENT, DIRECTOR | 2124910 |
| TANNER, LEONARD EUGENE | VICE CHAIRMAN | 442470 |
| WILSON, CHARLENE FAITH | VICE PRESIDENT, CHIEF FINANCIAL OFFICER, AND TREASURER | 1935747 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
Red Flags
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