Jill D. Smart
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.
Jill Daryl Smart was a registered financial professional .
Jill is a previously registered financial professional and started their career in finance in 2007. Jill had worked at 4 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 14, 2011 - June 28, 2012
NORTHWEST ASSET MANAGEMENT
September 22, 2009 - July 20, 2011
THE H GROUP, INC.
April 1, 2008 - September 24, 2009
LPL FINANCIAL LLC
April 1, 2008 - September 24, 2009
LPL FINANCIAL LLC
October 12, 2007 - February 20, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
NORTHWEST ASSET MANAGEMENT
CRD#: 147923 / SEC#: 801-69483
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
NORTHWEST ASSET MANAGEMENT
CRD#: 147923 / SEC#: 801-69483
Contact information
SEC notice filing (40 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 8,844 |
| AUM (Assets Under Management) | $ 3,608,262,509 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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