Andrew D. Smith
Professional summary
Andrew Donald Smith, who also goes by Andrew Smith, is a registered financial professional currently at MUTUAL OF AMERICA SECURITIES LLC located in Westchester, Illinois.
Andrew is registered as a RR (Registered Representative) and started their career in finance in 2011. Andrew has worked at 2 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Andrew Donald Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 24, 2022 - Present
MUTUAL OF AMERICA SECURITIES LLC
Office #1: 4 Westbrook Corporate Center-suite 240, Westchester, IL 60154January 8, 2015 - February 7, 2022
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
July 21, 2011 - August 27, 2013
PRUDENTIAL ANNUITIES DISTRIBUTORS, 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
(8/8/2024)
(1/24/2022)
(3/23/2022)
Exams
FINRA
Current Firm
MUTUAL OF AMERICA SECURITIES LLC
CRD#: 27878 / SEC#: , 8-43278
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL OF AMERICA HOLDING COMPANY LLC | MEMBER | |
| BAILEY, CHRISTOPHER DAVID | CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4582524 |
| BRANT, DAVID ROBERT | FINANCIAL AND OPERATIONS PRINCIPAL (FINOP), PRINCIPAL FINANCIAL OFFICER (PFO), PRINCIPAL OPERATIONS OFFICER (POO) | 2718478 |
| GREGORY, IVAN BRUCE | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 4984456 |
| JOHNSON, TROY SHERMAN | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 3052097 |
| MEDLIN, KYLE LAWRENCE | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 5496979 |
| STEINGARTEN, BRIE ANNE ELIZABETH | GENERAL COUNSEL AND SECRETARY | 5373977 |
Red Flags
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