Shawn P. 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.
Shawn Patrick Smith, who also goes by Shawn Smith, was a registered financial professional .
Shawn is a previously registered financial professional and started their career in finance in 2010. Shawn had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 6, 2014 - March 16, 2016
TD AMERITRADE, INC.
June 6, 2014 - March 16, 2016
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
May 23, 2014 - March 16, 2016
TD AMERITRADE, INC.
October 1, 2012 - April 1, 2014
J.P. MORGAN SECURITIES LLC
April 25, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
May 17, 2010 - August 9, 2010
MSI FINANCIAL SERVICES, INC.
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
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
