Peter C. 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.
Peter Currier Smith, who also goes by Peter C Smith, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 2013. Peter had worked at 4 firms and has passed the Series 65, 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
November 2, 2015 - August 27, 2019
EATON VANCE MANAGEMENT
August 10, 2015 - August 27, 2019
EATON VANCE DISTRIBUTORS, INC.
June 2, 2014 - July 20, 2015
RS FUNDS DISTRIBUTOR LLC
August 27, 2013 - June 2, 2014
GUARDIAN INVESTOR SERVICES LLC
Primary Firm SEC Registration
EATON VANCE MANAGEMENT
CRD#: 104859 / SEC#: 801-15930
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
EATON VANCE MANAGEMENT
CRD#: 104859 / SEC#: 801-15930
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 4,053 |
| AUM (Assets Under Management) | $ 84,879,368,900 |
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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