Shanita S. Smith
Professional summary
Shanita Spivey Smith, who also goes by Shanita Shantell Spivey, is a registered financial professional currently at NUVEEN SECURITIES, LLC located in Chicago, Illinois.
Shanita is registered as a RR (Registered Representative) and started their career in finance in 2006. Shanita has worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Shanita Spivey Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 9, 2011 - Present
NUVEEN SECURITIES, LLC
Office #1: 333 West Wacker Drive, Chicago, IL 60606-1286January 5, 2017 - September 27, 2019
TEACHERS PERSONAL INVESTORS SERVICES, INC.
September 6, 2006 - January 20, 2011
ARIEL DISTRIBUTORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/9/2011)
Exams
FINRA
Current Firm
NUVEEN SECURITIES, LLC
CRD#: 469 / SEC#: , 8-13464
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 1 |
Red Flags
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