Jonathan D. Smalley
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.
Jonathan D Smalley, who also goes by Jonathan D Smalley, Jonathan Daniel Smalley, Jonathan Smalley, was a registered financial professional .
Jonathan is a previously registered financial professional and started their career in finance in 2006. Jonathan had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 11, 2019 - June 9, 2020
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
March 11, 2019 - June 9, 2020
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
July 25, 2016 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
July 25, 2016 - December 6, 2018
TRUIST ADVISORY SERVICES, INC.
July 25, 2016 - December 6, 2018
TRUIST INVESTMENT SERVICES, INC.
April 28, 2015 - July 13, 2016
CETERA INVESTMENT SERVICES LLC
April 2, 2015 - July 13, 2016
CETERA INVESTMENT ADVISERS LLC
March 25, 2014 - July 10, 2014
VALIC FINANCIAL ADVISORS, INC.
March 25, 2014 - July 10, 2014
VALIC FINANCIAL ADVISORS, INC.
June 28, 2013 - February 3, 2014
NEW ENGLAND SECURITIES
June 28, 2013 - February 3, 2014
NEW ENGLAND SECURITIES
August 23, 2012 - July 17, 2013
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
August 8, 2012 - July 17, 2013
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
December 12, 2011 - July 5, 2012
EQUITABLE ADVISORS, LLC
December 9, 2011 - July 5, 2012
EQUITABLE ADVISORS, LLC
April 3, 2009 - November 22, 2011
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
August 25, 2006 - November 22, 2011
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
Primary Firm SEC Registration
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611 / SEC#: 801-61332, 8-47290
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
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611 / SEC#: 801-61332, 8-47290
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 116 |
| AUM (Assets Under Management) | $ 24,355,321 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
| Bond | 8 |
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.
