Eric M. Smyth
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.
Eric Matthew Smyth was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 2006. Eric had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 28, 2015 - May 1, 2018
ABERDEEN FUND DISTRIBUTORS, LLC
September 23, 2011 - June 12, 2015
MDT ADVISERS, A DIVISION OF FEDERATED MDTA LLC
September 23, 2011 - June 12, 2015
FEDERATED SECURITIES CORP.
September 23, 2011 - June 12, 2015
FEDERATED INVESTMENT COUNSELING
September 23, 2011 - June 12, 2015
FEDERATED GLOBAL INVESTMENT MANAGEMENT CORP.
August 22, 2011 - June 12, 2015
FEDERATED SECURITIES CORP.
May 15, 2008 - November 12, 2008
ALPS DISTRIBUTORS, INC.
December 7, 2007 - November 4, 2008
WASATCH ADVISORS LP
June 21, 2006 - April 13, 2007
TOWERS WATSON 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
ABERDEEN FUND DISTRIBUTORS, LLC
CRD#: 146230 / SEC#: , 8-67799
Contact information
FINRA licenses (53 States and Territories)
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.
