Ross A Smith
Professional Summary
Ross A Smith, who also goes by Ross A Smith, Ross Alexander Smith, is a registered financial advisor currently at DELAWARE DISTRIBUTORS, L.P. located in New York, New York. Ross is registered as a RR (Registered Representative) and started their career in finance in 2011. Ross has worked at 3 firms and has passed the Series 63, Series 7TO, SIE, Series 7 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Ross A Smith, Ross Alexander Smith
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
15 years in the financial services industry
Current & Past Employments
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Current Firm
DELAWARE DISTRIBUTORS, L.P. | DELAWARE DISTRIBUTORS,INC.
Contact Information
Main Address
100 Independence 610 Market Street, Philadelphia, PA 19106-2354Mailing Address
100 Independence 610 Market Street, Philadelphia, PA 19106-2354Phone Number
(215) 255-1200Established
Delaware since 12/21/1994Firm Type
PartnershipFiscal Year End
MarchFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DELAWARE INVESTMENTS DISTRIBUTION PARTNERS, INC. ("DIDP") | LIMITED PARTNER OF APPLICANT | — |
| IVY DISTRIBUTORS, INC. | LIMITED PARTNER OF APPLICANT | — |
| CONNOR, DAVID FORRESTER | DIRECTOR | 4243088 |
| DELAWARE CAPITAL MANAGEMENT, A SERIES OF NOMURA INVESTMENT MANAGEMENT BUSINESS TRUST,("DCM") | LIMITED PARTNER OF APPLICANT | — |
| DELAWARE DISTRIBUTORS, INC. ("DDI") | GENERAL PARTNER OF APPLICANT | — |
| GARVEY, THOMAS F | CHIEF COMPLIANCE OFFICER | 2845051 |
| HOBAN, STEPHEN (NO MIDDLE NAME) | VP/CHIEF FINANCIAL OFFICER | 5089370 |
| HOBAN, STEPHEN (NO MIDDLE NAME) | FINOP | 5089370 |
| HUTCHINSON, MILISSA ANN | PRESIDENT | 5727922 |
| LYTLE, SHAWN KEITH | DIRECTOR | 5816747 |
| SALUS, RICHARD (NO MIDDLE NAME) | DIRECTOR | 2850592 |
Disclosures
Regulatory Event
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jan 2011About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Ross A Smith's CRS (Customer Relationship Summary).
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