Shane A. Smith
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.
Shane Allen Smith, who also goes by Shane Smith, was a registered financial professional .
Shane is a previously registered financial professional and started their career in finance in 2008. Shane had worked at 5 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
December 26, 2013 - February 21, 2014
SCOTTRADE, INC.
July 19, 2013 - November 19, 2013
PNC WEALTH MANAGEMENT LLC
July 18, 2013 - November 19, 2013
PNC WEALTH MANAGEMENT LLC
March 23, 2012 - May 2, 2013
STRATEGIC ADVISERS LLC
July 11, 2011 - May 1, 2013
FIDELITY BROKERAGE SERVICES LLC
June 28, 2010 - May 24, 2011
PNC WEALTH MANAGEMENT LLC
June 15, 2010 - May 24, 2011
PNC WEALTH MANAGEMENT LLC
December 24, 2008 - September 30, 2009
WELLS FARGO CLEARING SERVICES, LLC
December 10, 2008 - September 30, 2009
WELLS FARGO CLEARING SERVICES, 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
Exams
Current Firm
SCOTTRADE, INC.
CRD#: 8206 / SEC#: , 8-24760
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TD AMERITRADE ONLINE HOLDINGS CORP. | OWNER | |
| BOUDROT, SUSAN M | CHIEF COMPLIANCE OFFICER | 2472538 |
| BOYLE, STEPHEN JOHN | CHIEF FINANCIAL OFFICER | 6501238 |
| DESILVA, PETER JAMES | PRESIDENT, DIRECTOR | 1740057 |
| KIMM, DAVID ROBERT | CHIEF RISK OFFICER | 722941 |
| NALLY, THOMAS ANDREW | EVP, INSTITUTIONAL SERVICES | 2479301 |
| QUIRK, STEVEN MARK | SVP, TRADER GROUP | 2728768 |
| RICKETTS, JUDITH K | VP, MD OPERATIONS | 2758924 |
| YATES, WILLIAM THOMAS | TREASURER, FINOP | 2749545 |
Disclosures
| Regulatory Event | 51 |
| Arbitration | 33 |
| Bond | 1 |
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.
